EFTA01572323.pdf

GHISLAINE MAXWELL EFTA01572323 EFTA01572324 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL- OAP FDG 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 1/1/12 to 1/31/12 Investment Management Account J.P. Morgan Team Paul Morris Jason Bell 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 Page 2 Holdings Equity Cash & Fixed Income Portfolio Activity 4 7 9 0000000103.15.0.15.RRRRR.MAXWE04.20120403 Page 1 of 11 EFTA01572325 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 160,064.44 5,344.50 $165,408.94 239.92 $165,648.86 Ending Market Value 161,865.41 3,812.75 $165,678.16 406.04 $166,084.20 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 165,408.94 (452.22) ($452.22) 169.83 551.61 $165,678.16 406.04 $166,084.20 Year-to-Date Value 165,408.94 (452.22) ($452.22) 169.83 551.61 $165,678.16 406.04 EFTA01572326 $166,084.20 Change In Value 1,800.97 (1,531.75) $269.22 166.12 $435.34 Estimated 5,407.27 0.50 Current Annual Income Allocation 98% 2% $5,407.77 100% Cash & Fixed Income Asset Allocation Equity Page 2 of 11 EFTA01572327 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 169.70 0.13 $169.83 Year-to-Date Value 169.70 0.13 $169.83 Unrealized Gain/Loss To-Date Value $14,890.97 ST Realized Gain/Loss Realized Gain/Loss Current Period Value (138.33) ($138.33) Year-to-Date Value (138.33) ($138.33) Cost Summary Equity Cash & Fixed Income Total 3,812.75 Cost 146,974.44 $150,787.19 Page 3 of 11 EFTA01572328 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Equity Summary Asset Categories US Large Cap Equity Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Note: P indicates position adjusted for Pending Trade Activity. Equity Detail Price US Large Cap Equity ABBOTT LABORATORIES ANALOG DEVICES INC 002824-10-0 ABT 39.13 032654-10-5 ADI Page 4 of 11 176.000 6,886.88 6,011.39 875.49 54.15 148.000 8,014.20 7,308.74 705.46 284.16 71.04 176.00 3.55% 2.56% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Beginning Market Value 160,064.44 EFTA01572329 0.00 $160,064.44 Ending Market Value 156,814.37 5,051.04 $161,865.41 Current Period Value 161,865.41 146,974.44 14,890.97 5,407.27 405.99 3.34% Equity as a percentage of your portfolio - 98 % US Large Cap Equity Change In Value (3,250.07) 5,051.04 $1,800.97 Current Allocation 95% 3% 98% Concentrated & Other Equity Asset Categories EFTA01572330 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Price US Large Cap Equity AUTOMATIC DATA PROCESSING INC CHEVRON CORP 053015-10-3 ADP 103.12 166764-10-0 CVX COLGATE PALMOLIVE CO CONOCOPHILLIPS GENERAL MILLS INC 194162-10-3 CL 68.21 20825C-10-4 COP 39.83 370334-10-4 GIS HONEYWELL INTERNATIONAL INC ILLINOIS TOOL WORKS INC INTEL CORP 438516-10-6 HON 53.03 452308-10-9 ITW 26.42 458140-10-0 INTC JOHNSON & JOHNSON LOCKHEED MARTIN CORP MC DONALDS CORP 478160-10-4 JNJ 82.32 539830-10-9 LMT 99.05 580135-10-1 MCD MICROCHIP TECHNOLOGY INC NEXTERA ENERGY INC 595017-10-4 MCHP 59.85 65339F-10-1 NEE Page 5 of 11 137.000 8,199.45 7,254.34 945.11 301.40 3.68% 36.90 226.000 8,339.40 7,115.59 1,223.81 314.59 EFTA01572331 3.77% 98.000 9,706.90 8,329.79 1,377.11 274.40 2.83% 102.000 8,396.64 7,330.98 1,065.66 408.00 4.86% 65.91 126.000 8,304.66 7,863.57 441.09 287.28 3.46% 380.000 10,039.60 8,040.38 1,999.22 319.20 3.18% 138.000 7,318.14 6,498.07 820.07 198.72 2.72% 58.04 145.000 8,415.80 7,124.46 1,291.34 196.000 7,806.68 7,105.54 701.14 239.12 59.78 216.05 3.06% 2.57% 108.000 7,366.68 7,298.55 68.13 90.72 EFTA01572332 89.000 8,074.08 7,413.85 660.23 206.48 51.62 285.12 2.56% 3.87% 81.000 8,352.72 7,927.41 425.31 262.44 3.14% 54.78 150.000 8,217.00 7,264.05 952.95 237.00 2.88% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01572333 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Price US Large Cap Equity PEOPLE'S UNITED FINANCIAL INC PEPSICO INC 712704-10-5 PBCT 65.67 713448-10-8 PEP P PROCTER & GAMBLE CO RAYTHEON CO WALGREEN CO 742718-10-9 PG 47.99 755111-50-7 RTN 33.36 931422-10-9 WAG Total US Large Cap Equity $156,814.37 $141,566.04 $15,248.33 $5,231.83 $405.99 Concentrated & Other Equity P KELLOGG CO 487836-10-8 K 49.52 102.000 5,051.04 5,408.40 (357.36) 175.44 3.47% 3.34% 94.000 3,135.84 3,126.58 9.26 163.000 7,822.37 6,815.36 1,007.01 63.04 121.000 7,627.84 7,274.91 352.93 254.10 63.53 EFTA01572334 280.36 70.09 84.60 3.33% 3.58% 2.70% 118.000 7,749.06 7,546.72 202.34 12.33 571.000 7,040.43 6,915.76 124.67 359.73 89.93 243.08 5.11% 3.14% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 6 of 11 EFTA01572335 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 5,344.50 Ending Market Value 3,812.75 Change In Value (1,531.75) Current Allocation 2% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 3,812.75 3,812.75 0.50 0.05 0.01% SUMMARY BY TYPE Market Value 3,812.75 % of Bond Portfolio 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. Cash & Fixed Income Cash Market Value 3,812.75 % of Bond EFTA01572336 Portfolio 100% Page 7 of 11 EFTA01572337 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Note: 1 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 & Fixed Income Detail Price Cash US DOLLAR COST OF PENDING PURCHASES PROCEEDS FROM PENDING SALES Total Cash 1.00 1.00 1.00 5,062.11 (3,126.58) 1,877.22 5,062.11 (3,126.58) 1,877.22 $3,812.75 5,062.11 (3,126.58) 1,877.22 $3,812.75 $0.00 $0.50 $0.05 0.01% 0.50 0.05 0.01% 1 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 8 of 11 EFTA01572338 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions Ending Cash Balance Current Period Value 5,344.50 169.83 $169.83 (452.22) ($452.22) $5,062.11 * 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 INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 1/3 1/3 1/3 Div Domest Div Domest Interest Income Description PEPSICO INC @ 0.515 PER SHARE (ID: 713448-10-8) AUTOMATIC DATA PROCESSING INC @ 0.395 PER SHARE (ID: 053015-10-3) DEPOSIT SWEEP INTEREST FOR DEC. @ .03% RATE ON NET AVG COLLECTED BALANCE OF $5,032.17 AS OF 01/01/12 Page 9 of 11 0.13 Quantity Cost 118.000 150.000 Per Unit Amount 0.515 0.395 EFTA01572339 Amount 60.77 59.25 Year-To-Date Value* -169.83 $169.83 (452.22) ($452.22) -Current Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value (157.08) ($157.08) Year-To-Date Value* (157.08) ($157.08) EFTA01572340 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Type Settle Date Selection Method Income 1/10 Div Domest Total Income Type Settle Date Selection Method Fees & Commissions 1/19 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 10-01-2011 TO 12-31-2011 Quantity Cost Description ILLINOIS TOOL WORKS INC @ 0.36 PER SHARE (ID: 452308-10-9) Quantity Cost 138.000 Per Unit Amount 0.36 Amount 49.68 $169.83 Amount (452.22) TRADE ACTIVITY Note: Trade Date S indicates Short Term Realized Gain/Loss Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 1/31 2/3 KELLOGG CO (ID: 487836-10-8) Quantity (38.000) Per Unit Amount 49.431 Proceeds 1,877.22 Tax Cost (2,015.55) EFTA01572341 Realized Gain/Loss (138.33) S Page 10 of 11 EFTA01572342 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 1/1/12 to 1/31/12 Trade Date Est. Settle Date Type Pending Securities Purchased 1/31 Purchase 2/3 1/31 2/3 Total Pending Securities Purchased COST ADJUSTMENTS Settle Date Type Cost Adjustments 1/24 Cost Basis Adj Description MICROCHIP TECHNOLOGY INC RETURN OF CAPITAL ADJUSTMENT FOR 2011 DIVIDENDS (ID: 595017-10-4) Quantity 226.000 Cost Basis Adjustments (157.08) ($3,126.58) Purchase Description WALGREEN CO (ID: 931422-10-9) WALGREEN CO (ID: 931422-10-9) Quantity 92.000 2.000 Per Unit Amount 33.231 33.229 Market Cost (3,060.08) (66.50) Page 11 of 11 EFTA01572343 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01572344 For the Period 1/1/12 to 1/31/12 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in one package. Below are important disclosures relating to these different accounts. These statements may relate to various account types. Some of the disclosures are applicable to all of your accounts. For ease of reference the disclosures applicable to a particular type of account have been grouped together by descriptive headers. IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S) Important Information about Pricing ,Valuations, Estimated Annual Income, and Estimated Yield Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein, some of which has been provided by pricing sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy but provided for informational purposes and is furnished for the exclusive use of the client. 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 value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Certain assets including but not limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been provided to us by third parties who may or may not be independent of the issuer or manager. Such information is reflected as of the last date provided to us, and is not independently verified. 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, 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 should not be relied on as the price at which ARS would trade. 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. Such values may only be indicative. Valuations of over-the-counter derivative transactions, including certain EFTA01572345 derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. 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. If a partial call is made with respect to an issue of securities included in your Accounts we will allocate the call by a method we deem fair and equitable. To the extent applicable, please note the following 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. Offshore Deposits - London and Nassau 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 Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Disclosures Page 1 of 3 EFTA01572346 For the Period 1/1/12 to 1/31/12 Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S) (LINKED TO JPMS) Your Asset Account consists of a bank account that custodies assets linked to a brokerage account through which securities transactions are executed. As a result, the Asset Account statement(s) reflect brokerage transactions executed through JPMS but (except for exchange listed options) held in custody at JPMCB. Securities purchased or sold through JPMS in U.S. markets (other then mutual funds) are cleared through an affiliate of JPMS, in non-U.S. markets securities are cleared through JPMS. Positions in exchange-listed options are held by JPMCC. For your convenience, however, positions in exchange-listed options are presented in Asset Account statement(s) together with other assets held in such account(s). All pertinent information about your settled and pending purchases and sales effected through your JPMS account during the period covered by these statement(s), is summarized in the "Trade Activity" portion of the statement(s). In Case of Other Errors or Questions About Your Asset Account Statement(s) Please review your statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to both the introducing broker, JPMS and the clearing firm, JPMCC at the addresses shown on your statement(s). 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 J.P.Morgan team. In your written communication, 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. We must EFTA01572347 receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. 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 JPMCC are protected by SIPC up to $500,000 per customer, which includes up to $250,000 of protection for cash. SIPC does not protect against losses from fluctuations in the value of the securities. Assets held in custody by JPMCB 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 (202) 371-8300. 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 your statements or write us at J.P. Morgan, 500 Stanton Christiana Road, 1/OPS3, 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 an error or why you need more information. (3) Tell us the dollar amount of the suspected error. We will investigate your complaint and will correct any error promptly. If we take more than 10 business days (or 20 business days for new accounts) to do this, we will credit your account for the amount you think is in error, so that you will have the use of the money during the time it takes us to complete our investigation. Disclosures Page 2 of 3 EFTA01572348 For the Period 1/1/12 to 1/31/12 In Case of Errors or Questions About Non-Electronic Transfers (Checks or Deposits) Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a statement is incorrect or if you need more information about any non- electronic transactions (checks or deposits) on this statement. If any such error appears, you must notify the bank in writing as soon as possible after your statement was made available to you. For more complete details, see the applicable account agreements and appendices that govern your account. Deposit products and services are offered by JPMCB Member FDIC. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to JPMCB at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights. If you have any questions please contact your J.P. Morgan team. In your written communication, 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. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. With reference to JPMS and JPMCC: 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. You should have received (or have made available to you) 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 EFTA01572349 execution of transactions, including options transactions, has been included in confirmations that were previously furnished or have made available to you. Upon written request, 3PMS will promptly supply you with the latest information. PRODUCT RELATED DISCLOSURE: THE JPMORGAN FUNDS OR THIRD PARTIES Shares of the funds referenced above 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. Prospectuses and other fund information for JPMorgan funds may be obtained by calling your J.P. Morgan team or JPMorgan Distribution Services, Inc. at (800) 480-4111. You also may view and order materials online for JPMorgan funds at www.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales, distribution, shareholder or other services to the JPMorgan Funds or funds established, sponsored, advised, or managed by third parties, and J.P. Morgan affiliates may be compensated for such services as allowed by applicable law. The distributor of the JPMorgan Funds is JPMorgan Distribution Services, Inc., which is an affiliate of 3PMCB. Assets may be reflected herein even though they may be held by a third party unaffiliated with J.P. Morgan. In such cases, unless J.P. Morgan otherwise agrees, J.P. Morgan has no responsibility for the verification, valuation, safekeeping or management of those assets. Disclosures Page 3 of 3 EFTA01572350 EFTA01572351