📄 Extracted Text (6,611 words)
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 10/1/10 to 10/31/10
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
William Doherty III
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Cash and Short Term
Fixed Income
Options
Other Assets
Portfolio Activity
Online access
www.MorganOnline.com
Page
2
4
7
10
13
14
15
0000000039.00.0.20.00003.MAXWE00.20101117
Page 1 of 37
EFTA01569130
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Account Summary
Asset Allocation
Equity
Cash & Short Term
Fixed Income
Options
Other Assets
Market Value
Accruals
Market Value with Accruals
Beginning
Ending
Market Value
370,096.00
172,448.32
640,795.71
(3,900.00)
166,270.50
$1,345,710 53
2,452.49
$1,348,163.02
Market Value
842,260.50
227,120.04
645,406.76
(18,300.00)
163,804.00
$1,860,291.30
10,927.72
$1,871,219.02
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
1,345,710.53
500,968.07
(278.80)
931,803.67
(932,984.68)
EFTA01569131
$499,508.26
(4,139.45)
19,211.96
$1,860,291.30
10,927.72
$1,871,219.02
Change
In Value
472,164.50
54,671.72
4,611.05
(14,400.00)
(2,466.50)
$514,580.77
8,475.23
$523,056.00
Year-to-Date
Value
1,903,840.37
500,968.07
(179,811.95)
8,681,973.96
(12,265,645.78)
($3,262,515.70)
44,340.97
3,174,625.66
$1,860,291.30
10,927.72
$1,871,219.02
Fixed
Income
Estimated
41,337.50
3,018.60
26,790.60
4,125.00
$75,271.70
Current
Annual Income Allocation
45%
12%
34%
Other
Assets
9%
100%
Cash &
Short Term
Equity
Asset Allocation
Page 2 of 37
EFTA01569132
EFTA01569133
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
CONTINUED
Current
Period Value
0.27
1,344.53
(5,484.25)
($4,139.45)
Year-to-Date
Value
7,995.00
3.73
18,220.67
25,214.83
(7,093.26)
$44,340.97
Unrealized Gain/Loss
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
286.71
$286.71
Year-to-Date
Value
(1,732.11)
(21,457.91)
($23,190.02)
To-Date Value
$21,931.86
Cost Summary
Equity
Cost
Cash & Short Term
Fixed Income
Options
Other Assets
Total
800,554.32
222,185.80
642,220.77
EFTA01569134
(2,804.95)
176,203.50
$1,838,359.44
Page 3 of 37
EFTA01569135
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Equity Summary
Asset Categories
US Large Cap
Non US Equity
Emerging Markets
Preferred Stocks
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
241,682.00
51,164.00
13,750.00
63,500.00
$370,096.00
Ending
Market Value
266,082.50
53,048.00
0.00
523,130.00
$842,260.50
Current
Period Value
842,260.50
800,554.32
41,706.18
41,337.50
2,257.50
4.91%
US Large Cap
Change
In Value
24,400.50
1,884.00
(13,750.00)
459,630.00
$472,164.50
Current
Allocation
14%
3%
28%
EFTA01569136
45%
Asset Categories
Equity
Non US Equity
Preferred Stocks
Page 4 of 37
EFTA01569137
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Note:
P indicates position adjusted for Pending Trade Activity.
Equity Detail
Estimated
Quantity
US Large Cap
AT&T INC
GOOGLE INC
CL A
38259P-50-8 GOOG
PFIZER INC
717081-10-3 PFE
PROSHARES ULTRASHORT S&P 500
Total US Large Cap
74347R-88-3 SDS
3,800.000
Non US Equity
SPDR GOLD TRUST
78463V-10-7 GLD
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
Page 5 of 37
$266,082.50
$245,504.40
$20,578.10
$2,760.00
$420.00
1.04%
1,000.000
27.33
27,330.00
44,809.50
(17,479.50)
1,500.000
17.42
26,122.50
26,460.00
(337.50)
1,080.00
4.13%
1,000.000
00206R-10-2 T
300.000
613.70
184,110.00
147,944.90
36,165.10
EFTA01569138
28.52
28,520.00
26,290.00
2,230.00
1,680.00
420.00
5.89%
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
400.000
132.62
53,048.00
33,482.00
19,566.00
10,000.000
26.50
265,000.00
261,300.00
3,700.00
19,690.00
7.43%
EFTA01569139
GHISLAINE MAXWELL
ACCT.
For the Period 10/1/10 to 10/31/10
Estimated
Quantity
Preferred Stocks
P COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
2,500.000
20,900.000
25.30
63,250.00
$523,130.00
62,500.00
$521,567.92
750.00
$1,562.08
4,187.50
$38,577.50
$1,837.50
6.62%
7.37%
8,400.000
23.20
194,880.00
197,767.92
(2,887.92)
14,700.00
1,837.50
7.54%
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
Page 6 of 37
EFTA01569140
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Cash & Short Term Summary
Beginning
Asset Categories
Cash
Short Term
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
Short Term
Less than 3 months
203,932.84
Market
Value
Market Value
(32,665.53)
205,113.85
$172,448.32
Ending
Market Value
23,187.20
203,932.84
$227,120.04
Current
Period Value
227,120.04
222,185.80
4,934.24
3,018.60
29.52
12.06%
SUMMARY BY TYPE
Short Term
International Bonds
Mutual Funds
Total Value
Market
Value
203,931.84
1.00
$203,932.84
% of Bond
Portfolio
99%
EFTA01569141
1%
100%
Short Term
Change
In Value
55,852.73
(1,181.01)
$54,671.72
Current
Allocation
1%
11%
12%
Asset Categories
Cash &
Short Term
Cash
Page 7 of 37
EFTA01569142
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Note:
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Cash & Short Term Detail
Quantity
Cash
CANADIAN DOLLAR
COST OF PENDING PURCHASES
POUND STERLING
US DOLLAR
Total Cash
Short Term
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
MORGAN SHARE CLASS
FUND 3
7-Day Annualized Yield: .14%
4812A0-81-3
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/28/2010 MATURITY 11/04/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60711H-9M-0 NOK
581,670.79
16.93
10/27/10
98,495.61
101,101.77
(2,606.16)
1,477.43
16.35
35.04%
1.00
1.00
1.00
1.00
0.10%
105,600.63
(98,778.96)
97.73
18,035.75
0.98
1.00
1.60
1.00
EFTA01569143
103,774.16
(98,778.96)
156.25
18,035.75
$23,187.20
100,000.60
(98,778.96)
153.54
18,035.75
$19,410.93
3,773.56
(49.38)
2.71
9.01
$3,776.27
($40.37)
0.05%
0.00%
0.05%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 8 of 37
EFTA01569144
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Quantity
Short Term
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/29/2010 MATURITY 11/05/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60711J -9H-7 NOK
Total Short Term
1,202,807.17
$203,932.84
$202,774.87
$1,157.97
$3,058.97
$29.52
19.30%
621,135.38
16.97
10/28/10
105,436.23
101,672.10
3,764.13
1,581.54
13.17
4.59%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 9 of 37
EFTA01569145
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Fixed Income Summary
Asset Categories
US Fixed Income - Taxable
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
Fixed Income
Less than 5 years,
5-10 years,
Total Value
1
Market
Value
496,388.81
149,017.95
$645,406.76
% of Bond
Portfolio
77%
23%
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.
Beginning
Market Value
99,719.00
541,076.71
$640,795.71
Ending
Market Value
100,125.00
545,281.76
$645,406.76
Current
Period Value
645,406.76
642,220.77
3,185.99
26,790.60
8,640.70
2.87%
EFTA01569146
SUMMARY BY TYPE
Fixed Income
Government and Agency Bonds
International Bonds
Total Value
Market
Value
100,125.00
545,281.76
$645,406.76
% of Bond
Portfolio
16%
84%
100%
US Fixed Income
- Taxable
Non-US
Fixed Income
Change
In Value
406.00
4,205.05
$4,611.05
Current
Allocation
5%
29%
34%
Asset Categories
Fixed
Income
Page 10 of 37
EFTA01569147
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Fixed Income Detail
Quantity
US Fixed Income - Taxable
FHLB
MEDIUM TERM NOTE
1 1/4% SEP 29 2015
DTD 09/29/2010 STEP CPN
313371-2G-0 AAA /AAA
Non-US Fixed Income
INTER AMERICAN DEVEL BANK - IDR
6.7% OCT 31 2011
DTD 10/30/2009
HELD BY EUROCLEAR
ISIN:XS0459432679 SEDOL:B5756J3
458183-9K-8 NA /AAA IDR
INTL BK RECON & DEVELOP - BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
459058-96-1 NA /AAA BRL
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
6,700,000.000
2.13
10/7/10
142,867.58
143,232.17
(364.59)
4,547.51
2,753.36
4.71%
90,000.000
59.58
53,624.44
50,106.74
3,517.70
4,641.49
1,767.53
7.95%
419,625,000.000
0.01
48,126.79
48,769.75
(642.96)
EFTA01569148
3,146.05
8.56
1.22%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
100,000.000
100.13
100,125.00
100,000.00
125.00
1,250.00
111.10
1.22%
Page 11 of 37
EFTA01569149
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Quantity
Non-US Fixed Income
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6 1/2% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN:XS0513770957 SEDOL:944985B
45818W-9K-4 IDR
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 AA- /AA3
Total Non-US Fixed Income
1,726,565,000.000
$545,281.76
$542,220.77
$3,060.99
$25,540.60
$8,529.60
3.17%
150,000.000
99.35
149,017.95
150,000.00
(982.05)
3,750.00
114.45
2.60%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
1,300,000,000 000
0.01
151,645.00
150,112.11
1,532.89
9,455.55
3,885.70
1.22%
Page 12 of 37
EFTA01569150
EFTA01569151
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Options Summary
Asset Categories
Equity
Beginning
Market Value
(3,900.00)
Ending
Market Value
(18,300.00)
Change
In Value
(14,400.00)
Current
Allocation
Current
Market Value/Cost
Market Value
Premium
Unrealized Gain/Loss
Options Detail
Quantity
Equity
GOOGLE INC
CALL OPTION DEC 10 @ 560
Underlying Asset Price = $613.70
38259P-9A-W GOOG
(3.000)
61.00
(18,300.00)
(2,804.95)
(15,495.05)
Price
Market
Value
Premium
Unrealized
Gain/Loss
Period Value
(18,300.00)
(2,804.95)
(15,495.05)
Page 13 of 37
EFTA01569152
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Other Assets Summary
Asset Categories
Other
Beginning
Estimated Value
166,270.50
Ending
Estimated Value
163,804.00
Change
In Value
(2,466.50)
Current
Allocation
9%
Asset Categories
Other
Assets
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Estimated Annual Income
Yield
Other Assets Detail
Cost
Quantity
Other
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
PROSHARES ULTRSHORT QQQ
Total Other
74347R-87-5 QID
151,000.000
$163,804.00
$176,203.50
($12,399.50)
Page 14 of 37
1,000.000
12.88
12,880.00
26,203.50
(13,323.50)
150,000.000
100.62
EFTA01569153
150,924.00
150,000.00
924.00
Price
Estimated
Value
Adjusted
Original
Estimated
Gain/Loss
Accruals
Period Value
163,804.00
176,203.50
(12,399.50)
4,125.00
2.42%
EFTA01569154
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
1,065.76
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
17,024.71
(510,288.96)
($493,264.25)
$18,035.75
* Year to date information is calculated on a calendar year basis.
237,455.65
(819,762.02)
($582,306.37)
-$0.00
$0.00
$0.00
-(298,828.53)
($298,828.53)
500,968.07
$502,033.83
18,259.45
500,968.07
498,962.57
$1,018,190.09
(172,628.00)
(349,207.29)
($521,835.29)
$0.00
$0.00
Period
Value
308,094.70
Year-To-Date
Value*
EFTA01569155
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
Page
15 of 37
EFTA01569156
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Settlement
Date
10/1
Type
Spot FX
Description
LINKED CURRENCY TRANSACTION - BUY
BUY INR SELL USD
EXCHANGE RATE 45.139999860
DEAL 09/28/10 VALUE 10/01/10
10/1
Interest Income
DEPOSIT SWEEP INTEREST FOR SEPT @
.05% RATE ON NET AVG COLLECTED
BALANCE OF $459,359.82
AS OF 10/01/10
10/4
Spot FX
LINKED CURRENCY TRANSACTION - BUY
BUY IDR SELL USD
EXCHANGE RATE 920.000000000
DEAL 09/29/10 VALUE 10/04/10
10/4
10/12
Interest Income
Misc. Receipt
3PM CHASE CAPITAL XXIX
6.7% PFD
@ 0.41875 PER SHARE
FUNDS TRANSFERRED FROM
MMIA A/C# 00000000002916490721 TO
PRN A/C#
AS REQUESTED
10/19
Misc. Receipt
FUNDS TRANSFERRED FROM
MMIA A/C# 00000000002916490721 TO
PRN A/C#
AS REQUESTED
10/28
Misc. Receipt
FUNDS TRANSFERRED FROM
MMIA A/C# 00000000002916490721 TO
PRN A/C#
EFTA01569157
AS REQUESTED
Total Inflows & Outflows
$203,205.30
Page 16 of 37
100,000.00
150,000.00
250,968.07
2,500.000
0.419
1,046.88
1,367,243,835.620
153,278.46
(153,278.46)
18.88
Quantity
Cost
6,570,130.140
145,550.07
Per Unit
Amount
PRINCIPAL
Amount
(145,550.07)
INCOME
Amount
EFTA01569158
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
TRADE ACTIVITY
Note:
S
Trade
Date
10/26
Settlement
Date
10/29
indicates Short Term Realized Gain/Loss
Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Settled Sales/Maturities/Redemptions
Sale
Description
CHANGYOU.COM LTD
ADR
@ 34.10
BROKERAGE
TAX &/OR SEC
17,050.00
25.00
.29
J.P. MORGAN SECURITIES LLC
TRADE DATE 10/26/10
Quantity
(500.000)
Per Unit
Amount
34.049
Proceeds
17,024.71
Tax Cost
(16,738.00)
Realized
Gain/Loss
286.71 S
Trade
Date
Settlement
Date
10/7
Type
Description
Settled Securities Purchased
10/4
Purchase
EFTA01569159
CITIGROUP CAPITAL XIII
7 7/8% PFD
@ 26.13
J.P. MORGAN SECURITIES LLC
TRADE DATE 10/04/10
9/27
10/20
Purchase
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
@ 100.00
JP MORGAN SECURITIES LLC (BIDL)
TRADE DATE 09/27/10
150,000.000
100.00
(150,000.00) *
Quantity
10,000.000
Per Unit
Amount
26.13
Market Cost
(261,300.00)
Page 17 of 37
EFTA01569160
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Trade
Date
Settlement
Date
10/29
Type
Settled Securities Purchased
10/26
Purchase
Description
ENTRY REVERSED ON 11/16/2010
COUNTRYWIDE CAPITAL V
7% PFD
@ 23.4688
BROKERAGE
Total Settled Securities Purchased
Trade
Date
Estimated
Settlement
Date
10/29
98,568.96
420.00
J.P. MORGAN SECURITIES LLC
TRADE DATE 10/26/10
($510,288.96)
Quantity
4,200.000
Per Unit
Amount
23.569
Market Cost
(98,988.96)
Type
Description
Pending Securities Purchased
10/26
Purchase
COUNTRYWIDE CAPITAL V
7% PFD
Quantity
4,200.000
Per Unit
Amount
23.468
Market Cost
(98,778.96)
Page 18 of 37
EFTA01569161
EFTA01569162
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Indian Rupee
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Income
Foreign Exchange - Inflows
Total Inflows
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-(2,317.90)
145,550.07
$143,232.17
(143,232.17)
($143,232.17)
-Year-To-Date
Value*
-(2,317.90)
145,550.07
$143,232.17
(143,232.17)
($143,232.17)
-Local
Value
EFTA01569163
Current
Period Value
0.00
(104,630.14)
6,570,130.14
6,465,500.00
(6,465,500.00)
(6,465,500.00)
0.00
Year-To-Date
Value*
-(104,630.14)
6,570,130.14
6,465,500.00
(6,465,500.00)
(6,465,500.00)
-Page
19 of 37
EFTA01569164
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Detail - Indian Rupee
INFLOWS & OUTFLOWS
Settlement
Date
10/1
Type
Accrued Interest Paid
Description
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR ISIN XS0495010562
SEDOL B5114T3
10/1
Spot FX
LINKED CURRENCY TRANSACTION - BUY
BUY INR SELL USD
EXCHANGE RATE 45.139999860
DEAL 09/28/10 VALUE 10/01/10
Total Inflows & Outflows
$143,232.17
$0.00
(145,550.070)
145,550.07
6,570,130.14
Quantity
6,700,000.000
0.016
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(2,317.90)
(104,630.14)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 20 of 37
EFTA01569165
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
TRADE ACTIVITY - Indian Rupee
Note:
Trade
Date
Settlement
Date
10/1
* Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Type
Settled Securities Purchased
9/28
Purchase
Description
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR ISIN XS0495010562
SEDOL B5114T3
Quantity
6,700,000.000
Amount USD
Local Value
2.10
96.50
Market
Cost USD
Local Value
(143,232.17)
(6,465,500.00)
Currency
Gain/Loss USD
*
Page 21 of 37
EFTA01569166
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Indonesian Rupia
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Income
Foreign Exchange - Inflows
Total Inflows
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-(3,166.35)
153,278.46
$150,112.11
(150,112.11)
($150,112.11)
-Year-To-Date
Value*
-(4,775.36)
203,657.22
$198,881.86
(198,881.86)
($198,881.86)
-Local
Value
EFTA01569167
Current
Period Value
0.00
(28,243,835.62)
1,367,243,835.62
1,339,000,000.00
(1,339,000,000.00 )
(1,339,000,000.00 )
0.00
Year-To-Date
Value*
-(42,724,921.62)
1,820,652,671.62
1,777,927,750.00
(1,777,927,750.00
)
(1,777,927,750.00 )
-Page
22 of 37
EFTA01569168
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Detail - Indonesian Rupia
INFLOWS & OUTFLOWS
Settlement
Date
10/4
Type
Accrued Interest Paid
Description
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6 1/2% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN:XS0513770957 SEDOL:944985B
10/4
Spot FX
LINKED CURRENCY TRANSACTION - BUY
BUY IDR SELL USD
EXCHANGE RATE 920.000000000
DEAL 09/29/10 VALUE 10/04/10
Total Inflows & Outflows
$150,112.11
$0.00
(153,278.460)
153,278.46
1,367,243,835.62
Quantity
1,300,000,000.000
0.022
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(3,166.35)
(28,243,835.62)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 23 of 37
EFTA01569169
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
TRADE ACTIVITY - Indonesian Rupia
Note:
Trade
Date
Settlement
Date
10/4
* Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Type
Settled Securities Purchased
9/29
Purchase
Description
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6 1/2% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN:XS0513770957 SEDOL:944985B
Quantity
1,300,000,000.000
Amount USD
Local Value
Market
Cost USD
Local Value
(150,112.11)
103.00 (1,339,000,000.00 )
Currency
Gain/Loss USD
*
Page 24 of 37
EFTA01569170
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Norwegian Krone
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.
$0.00
-100,000.00
(100,429.08)
($429.08)
-0.00
0.00
611,000.00
(613,539.04)
(2,539.04)
-Period
Value
Beginning Cash Balance
-278.77
$278.77
(278.77)
($278.77)
Year-To-Date
Value*
-2,732.82
$2,732.82
(2,303.74)
($2,303.74)
Local
Value
Current
Period Value
0.00
1,624.20
1,624.20
(1,624.20)
(1,624.20)
Year-To-Date
EFTA01569171
Value*
-16,566.57
16,566.57
(14,027.53)
(14,027.53)
Page
25 of 37
EFTA01569172
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Norwegian Krone
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Settlement
Date
10/1
Type
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 09/24/2010 MATURITY 10/01/2010
HELD BY LONDON TREASURY SERVICES
10/1
10/1
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(620,206.240)
LONDON TIME DEPOSITS 1.5500%
DATED 09/24/2010 MATURITY 10/01/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
(186.920)
(31.92)
(186.92)
Quantity
620,206.240
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Per
EFTA01569173
Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
31.92
186.92
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 26 of 37
EFTA01569174
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
10/1
Type
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/01/2010 MATURITY 10/08/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/7
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 09/30/2010 MATURITY 10/07/2010
HELD BY LONDON TREASURY SERVICES
10/7
10/7
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(580,975.730)
LONDON TIME DEPOSITS 1.5500%
DATED 09/30/2010 MATURITY 10/07/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/7
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/07/2010 MATURITY 10/14/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/8
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/01/2010 MATURITY 10/08/2010
HELD BY LONDON TREASURY SERVICES
10/8
Misc. Disbursement
REP: ROLLOVER TO TIME DEPOSIT
NORWEGIAN KRONE
(186.980)
EFTA01569175
(32.16)
(186.98)
620,393.160
32.16
186.98
581,150.830
(175.100)
(30.21)
(175.10)
580,975.730
30.21
175.10
Quantity
620,393.160
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 37
EFTA01569176
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
10/8
Type
Free Delivery
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/01/2010 MATURITY 10/08/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/8
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/08/2010 MATURITY 10/15/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/14
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/07/2010 MATURITY 10/14/2010
HELD BY LONDON TREASURY SERVICES
10/14
10/14
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(581,150.830)
LONDON TIME DEPOSITS 1.5500%
DATED 10/07/2010 MATURITY 10/14/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/14
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/14/2010 MATURITY 10/21/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/15
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
EFTA01569177
DATED 10/08/2010 MATURITY 10/15/2010
HELD BY LONDON TREASURY SERVICES
Page 28 of 37
620,580.140
32.59
187.04
581,325.980
(175.150)
(30.21)
(175.15)
581,150.830
30.21
175.15
620,580.140
Quantity
(620,393.160)
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01569178
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
10/15
10/15
Type
Misc. Disbursement
Free Delivery
Description
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(620,580.140)
LONDON TIME DEPOSITS 1.5500%
DATED 10/08/2010 MATURITY 10/15/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/15
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/15/2010 MATURITY 10/22/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/21
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/14/2010 MATURITY 10/21/2010
HELD BY LONDON TREASURY SERVICES
10/21
10/21
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(581,325.980)
LONDON TIME DEPOSITS 1.5500%
DATED 10/14/2010 MATURITY 10/21/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/21
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/21/2010 MATURITY 10/28/2010
HELD BY LONDON TREASURY SERVICES
EFTA01569179
CLIENT REF FTD
581,501.190
(175.210)
(30.02)
(175.21)
581,325.980
30.02
175.21
620,767.180
Quantity
(187.040)
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(32.59)
(187.04)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 29 of 37
EFTA01569180
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
10/22
Type
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 10/15/2010 MATURITY 10/22/2010
HELD BY LONDON TREASURY SERVICES
10/22
10/22
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(620,767.180)
LONDON TIME DEPOSITS 1.5500%
DATED 10/15/2010 MATURITY 10/22/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/22
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/22/2010 MATURITY 10/29/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/28
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/21/2010 MATURITY 10/28/2010
HELD BY LONDON TREASURY SERVICES
10/28
10/28
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(581,501.190)
LONDON TIME DEPOSITS 1.5000%
DATED 10/21/2010 MATURITY 10/28/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
EFTA01569181
(169.600)
(28.72)
(169.60)
581,501.190
28.72
169.60
620,954.270
(187.090)
(32.20)
(187.09)
Quantity
620,767.180
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
32.20
187.09
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 30 of 37
EFTA01569182
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
10/28
Type
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/28/2010 MATURITY 11/04/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/29
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/22/2010 MATURITY 10/29/2010
HELD BY LONDON TREASURY SERVICES
10/29
10/29
Misc. Disbursement
Free Delivery
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(620,954.270)
LONDON TIME DEPOSITS 1.5000%
DATED 10/22/2010 MATURITY 10/29/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
10/29
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5000%
DATED 10/29/2010 MATURITY 11/05/2010
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
Total Inflows & Outflows
$0.00
621,135.380
(181.110)
(30.74)
(181.11)
620,954.270
30.74
181.11
Quantity
581,670.790
EFTA01569183
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 37
EFTA01569184
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS
Total Outflows
Tax Payments
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
-Period
Value
Beginning Cash Balance
-0.27
$0.27
(0.03)
($0.03)
Year-To-Date
Value*
-3.73
$3.73
(0.38)
($0.38)
135.41
$135.41
-0.00
97.73
Local
Value
Current
Period Value
97.58
0.17
0.17
(0.02)
(0.02)
Year-To-Date
Value*
-2.45
2.45
(0.25)
(0.25)
EFTA01569185
86.15
86.15
-Page
32 of 37
EFTA01569186
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Portfolio Activity Summary - Pound Sterling
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Settlement
Date
10/7
Type
Foreign Dividend
Description
GLAXOSMITHKLINE PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0009252882/SEDOL 0925288
@ 0.166666 PER SHARE
10/7
Foreign Tax Withheld
GLAXOSMITHKLINE PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0009252882/SEDOL 0925288
TAX WITHHELD UNITED KINGDOM
12.00%
Total Inflows & Outflows
$0.24
$0.00
(0.020)
(0.03)
(0.02)
Quantity
1.000
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Per
Unit
Amount USD
EFTA01569187
Local Value
0.27
0.17
PRINCIPAL
Amount USD
Local Value
0.27
0.17
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 33 of 37
EFTA01569188
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
INDIAN RUPEE
U S DOLLAR
INDONESIAN RUPIA
U S DOLLAR
Sep. 28 10
Oct. 1 10
Sep. 29 10
Oct. 4 10
INR
USD
USD
Amount
Counter Amount Contract Rate Revaluation Rate
6,570,130.14
(145,550.07)
45.140000
IDR 1,367,243,835.62 8920.000000
(153,278.46)
45.140000
8920.000000
Contracted Base
Amount USD
(145,550.07)
(153,278.46)
Revalued
Amount USD
145,550.07
153,278.46
Currency G/L
Page 34 of 37
EFTA01569189
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
In Case of Errors or Questions About Your Electronic Transfers.
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of this statement or write us at , 1/OPS, Newark,
DE 19713-2107 as soon as you can, if you
think your statement is wrong or if you need more information about a
transfer on the statement. We must hear from you no later than 60 days after
we sent you the FIRST statement on which the error
or problem appeared. (1) Tell us your name and account number. (2) Describe
the error or the transfer you are unsure about, and explain as clearly as
you can why you believe it is in error or why you
need more information. (3) tell us the dollar amount of the suspected error.
If you contact us orally, you must send us your complaint or question in
writing within 10 business days in order to preserve
your rights. We will investigate your complaint and will correct any error
promptly. If we take more than 10 business days to do this (20 days for
purchases using your debit card or for international
transactions), we will credit your account for the amount you think is in
error, so that you will have the use of money during the time it takes us to
complete our investigation.
In case of errors or questions about your statement, including your line of
credit.
If you think that your statement is incorrect or if you need more
information about a transaction on your statement including a line of credit
transaction, you must write to us on a separate sheet describir
the error and send it to: J.P. Morgan's Private Bank,
, 1/OPS3, Newark, DE 19713-2107. We must hear from you no later than 60
days after the statement on which the
error or problem appeared is sent. You can contact your client service
specialist but doing so will not preserve your rights.
Please review your account statement and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, and unaccounted cash
positions in writing to both the introducing broker, JPMS and the clearing
firm, JPMCC at the addresses shown on your statement. Any oral communication
should be re-confirmed in writing to further
protect your rights, including your rights under the Securities Investor
Protection Act (SIPA). If you have any questions please contact your JPMS
Account Representative or JPMS Compliance
Department at
In your letter, please provide the following information: (1) your name and
account number; (2) the dollar amount of the suspected error; and (3) a
description of the error and explanation, if you can, why
you believe there is an error. If you need more information, you must
describe the item you are unsure about.
Important Information about Pricing and Valuations
Certain assets including but not limited to, pooled private investments, non
publicly traded and infrequently traded securities, derivatives, partnership
interests and tangible assets are generally illiquid,
the value of which may have been provided to us by third parties who may not
EFTA01569190
be independent of the issuer or manager. Such information is reflected as of
the last date provided to us, and is not
independently verified.
Prices, some of which are provided by pricing services or other sources
which we deem reliable, are not guaranteed for accuracy or as realizable
values.
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein has been obtained
from sources that J.P. Morgan believes to be
reliable and is furnished for the exclusive use of the client.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or securities could be bought or sold or new
transactions could be entered into, or the actual terms on which existing
transactions or securities could be liquidated.
The current price is the value of the financial asset share, unit or
contract as priced at the close of the market on the last day of the
statement period or the last available price.
All values provided for structured yield deposits (for example, JPMorgan
London Time Deposits) reflect the original deposit amount only.
The current value for Real Estate, Mineral Interests and Miscellaneous
Assets may not reflect the most current value of the asset.
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are indicative values as of the
Page 35 of 37
EFTA01569191
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
close of business of the date of this statement and, except as otherwise
agreed in writing, these valuations do not represent the actual terms at
which transactions or securities could be bought or sold or
new transactions could be entered into, or the actual terms on which
existing transactions or securities could be liquidated as of the date of
this statement. We do not warrant their completeness or
accuracy. These valuations are derived from proprietary models based upon
well-recognized financial principles and we have, when necessary to
calculate the present value of future cash flows, made
reasonable estimates about relevant future market conditions. Valuations
based on other models or different assumptions may yield different results.
J.P. Morgan expressly disclaims any responsibility
for (1) the accuracy of the models or estimates used in deriving the
valuations, (2) any errors or omissions in computing or disseminating the
valuations, and (3) any uses to which the valuations are put.
Valuations are provided for information purposes only and are intended
solely for your own use. Please refer to the trade confirmation for details
of each transaction.
Please review your statement promptly and report any discrepancies
immediately to an account officer whose name appears on the contact page of
this statement.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American
Century Funds
Shares of the funds are not bank deposits and are not guaranteed by any
bank, government entity, or the FDIC. Return and share price will fluctuate
and redemption value may be more or less than
original cost. While the money market funds seek to maintain a stable net
asset value of $1.00 per share, there is no assurance that they will
continue to do so. The estimated annual income and
dividend yield figures for mutual funds represent the funds' most recent
income dividend annualized.
The distributor of the JPMorgan Funds is JPMorgan Distribution Services,
Inc., which is an affiliate of the Bank. The Bank and its affiliates receive
compensation from JPMorgan Funds for providing
services. American Century Investment Services, Inc. is the distributor of
the American Century Funds. American Century Investment Management Inc.
serves as investment advisor to its respective
fund family and receives compensation from that fund family for providing
investment advisory and other services.
This statement is not an official document for income tax reporting purposes.
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; Amounts in such foreign accounts do not have the
benefit of any Domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Account (TD F 90-22.1).
Important Information Regarding Auction Rate Securities (ARS). ARS are debt
or preferred securities with an interest or dividend rate reset periodically
in an auction. Although there may be daily,
EFTA01569192
weekly and monthly resets, there is no guarantee that there will be
liquidity. If there are not enough bids at an auction to redeem the
securities available for sale, the result may be a failed auction. In the
event of a failed auction, there is no assurance that a secondary market
will develop or that the security will trade at par or any other price
reflected on statements and online.Accordingly, investors
should not rely on pricing information appearing in their statements or
online with respect to ARS. Where J.P. Morgan was unable to obtain a price
from an outside service for a particular ARS, the price
column on your statement and online will indicate "$0.00" which however
should not be relied on as the price at which ARS would trade.
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, the Private Bank of J.P. Morgan will provide a copy of
the advisor's Form ADV II or brochure upon written
request.
Additional Information About Your Accounts
Securities purchased or sold through JPMS (1) other than mutual funds, are
cleared through J.P.Morgan Clearing Corp. ("JPMCC"), an affiliate of 3PMS,
and (2) other than exchange-listed options, are
held in your Asset Account at 3PMorgan Chase Bank, N.A. Positions in
exchange-listed options are held by 3.P.Morgan Clearing Corp. and are not
delivered to or from your Asset Account. For your
convenience, however, positions in exchange-listed options are presented in
this Asset Account statement together with other assets held in that
account. All pertinent information about your settled
and pending purchases and sales effected through your 3PMS account during
the period covered by this statement, is summarized in the "Trade Activity"
portion of this statement.
You should have received separate confirmations for each securities
transaction. All transactions are subject to the terms and conditions stated
on the reverse side of such confirmations and are subject
to the constitution, by-laws, customs and interpretations of the marketplace
where executed and governed by and construed in accordance with the laws of
the State of New York and all applicable
federal laws and regulations. Further information with respect to
commissions and other charges related to the execution of transactions,
including options transactions, has been included in
confirmations that were previously furnished to you. Upon written request,
3PMS will promptly supply you with the latest such information.
Page 36 of 37
EFTA01569193
GHISLAINE MAXWELL ACCT.
For the Period 10/1/10 to 10/31/10
Shareholders of certain JPMorgan Funds are charged a redemption fee equal to
2% of the proceeds if they exchange or redeem shares of such funds within 60
days of purchase, subject to certain
exceptions set forth in the prospectus of the applicable Fund. Please
consult your J.P. Morgan representative for a list of the JPMorgan Funds
that impose redemption fees.
.JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMS and JPMCC are
protected by SIPC up to $500,000 per customer, which includes up to $100,000
of protection for cash. SIPC does not
protect against losses from fluctuations in the value of the securities.
Assets held in custody by JPMorgan Chase Bank, N.A. (the "Bank") are not
subject to SIPC. You may obtain information about
SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by
contacting them at
To the extent applicable, please read the following disclosures regarding
estimated annual income (EAI) and estimated yield (EY): EAI and EY for
certain types of securities could include a return of
principal or capital gains in which case the EAI and EY would be overstated.
EAI and EY are estimates and the actual income and yield might be lower or
higher than the estimated amounts. EY reflects
only the income generated by an investment. It does not reflect changes in
its price, which may fluctuate.
JPMS, .JPMCB or their affiliates (the "J.P. Morgan Companies") may provide
administrative, custodial, sales, distribution or shareholder services to
JPMorgan Funds, American Century Funds, or funds
established, sponsored, advised, or managed by third parties, and the J.P.
Morgan Companies may be compensated for such services.
A financial statement of this organization is available to you for personal
inspection at its offices, or a copy will be mailed to you upon written
request
Bank products and services are offered through JPMCB and its affiliates.
Securities are offered by JPMS and, to the extent noted above, cleared
through JPMCC.
If a partial call is made with respect to an issue of securities included in
your Account we will allocate the call by a method we deem fair and
equitable.
You must promptly advise JPMS of material changes in your investment
objectives or financial situation. Unless you inform JPMS otherwise, JPMS
will consider the information currently in its files to be
complete and accurate.
JPMS is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMCB. The securities sold, offered, or recommended by
JPMS:
(1) Are not insured by the Federal Deposit Insurance Corporation, or any
other governmental agency;
(2) Are not deposits or other obligations of JPMS's bank or thrift
EFTA01569194
affiliates (unless otherwise indicated), and are not guaranteed by or the
responsibility of any such affiliates (unless explicitly stated
otherwise); and
(3) Involve investment risks, including possible loss of the principal
invested.
JPMS's banking affiliates may be lenders to issuers of securities that JPMS
underwrites, in which case proceeds of offerings underwritten by JPMS may be
used for the repayment of such loans, and you
should refer to the disclosure documents relating to particular securities
for discussion of any such lending relationships. The Federal Reserve
requires that JPMS obtain your consent before it can
obtain certain information from its bank or thrift affiliates, including
their credit evaluation of you. We will assume that your continuing to
transact business with JPMS will constitute your consent to the
sharing of such information by JPMS and its bank or thrift affiliates, to
the extent permitted by law.
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ℹ️ Document Details
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Bates Number
EFTA01569130
Dataset
DataSet-10
Document Type
document
Pages
67
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