EFTA01574722.pdf

JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL IRA 345 Park Avenue, New York, NY 10154-1002 ACCT. For the Period 9/1/09 to 9/30/09 GHISLAINE MAXWELL Asset Account J.P. Morgan Private Bank Team Mary Casey Janet Young William Doherty III Online access Banker Client Service Team Client Service Team www.Mor anOnline.com Table of Contents Account Summary Holdings Equity Cash and Short Term Portfolio Activity Page 2 4 5 7 Page 1 of 10 EFTA01574722 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 Account Summary Asset Allocation Equity Cash & Short Term Market Value Accruals Market Value with Accruals Beginning Ending Market Value 38,587.50 2,453.09 $41,040.59 630.15 $41,670.74 Market Value 39,922.50 3,083.24 $43,005.74 0.17 $43,005.91 Current Portfolio Activity Beginning Market Value Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 41,040.59 630.15 1,335.00 $43,005.74 0.17 $43,005.91 Change In Value 1,335.00 630.15 $1,965.15 (629.98) $1,335.17 Year-to-Date Value 32,451.92 1,906.32 8,647.50 $43,005.74 EFTA01574723 0.17 $43,005.91 Equity Estimated 2,520.00 2.15 Current Annual Income Allocation 93% 7% 100% Cash & Short Term Asset Allocation Page 2 of 10 EFTA01574724 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 630.00 0.15 $630.15 Year-to-Date Value 1,890.00 16.32 $1,906.32 Unrealized Gain/Loss To-Date Value $8,647.50 Page 3 of 10 EFTA01574725 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 Equity Summary Asset Categories Non US Equity Beginning Market Value 38,587.50 Ending Market Value 39,922.50 Change In Value 1,335.00 Current Allocation 93% Asset Categories Equity Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Period Value 39,922.50 31,275.00 8,647.50 2,520.00 6.31% Equity Detail Estimated Quantity Non US Equity BP PLC SPONSORED A/D/R 055622-10-4 BP Price Market Value Tax Cost Unrealized Gain/Loss Annual Income Accrued Dividends Yield 750.000 53.23 EFTA01574726 39,922.50 31,275.00 8,647.50 2,520.00 6.31% Page 4 of 10 EFTA01574727 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 Cash & Short Term Summary Beginning Asset Categories Cash Market Value 2,453.09 Ending Market Value 3,083.24 Change In Value 630.15 Current Allocation 7% Asset Categories Cash & Short Term Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield Period Value 3,083.24 3,083.24 2.15 0.17 0.07% Page 5 of 10 EFTA01574728 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 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 & Short Term Detail Quantity Cash US DOLLAR 3,083.24 1.00 3,083.24 3,083.24 2.15 0.17 0.07% Price Market Value Tax Cost Adjusted Original Estimated Unrealized Gain/Loss Annual Income Accrued Interest Yield Page 6 of 10 EFTA01574729 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 Portfolio Activity Summary Beginning Cash Balance Transactions Income INFLOWS Total Inflows TRADE ACTIVITY Total Trade Activity Settled Securities Purchased $0.00 Ending Cash Balance $3,083.24 * Year to date information is calculated on a calendar year basis. Current Period Value 2,453.09 630.15 $630.15 Year-To-Date Value* -1,906.32 $1,906.32 (31,275.00) ($31,275.00) -Portfolio Activity Detail INFLOWS & OUTFLOWS Settlement Date 9/1 Type Interest Income Description DEPOSIT SWEEP INTEREST FOR AUG. @ .07% RATE ON NET AVG COLLECTED BALANCE OF $2,453.09 AS OF 09/01/09 Quantity Per Unit Amount Amount 0.15 Page 7 of 10 EFTA01574730 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 INFLOWS & OUTFLOWS Settlement Date 9/8 Type Foreign Dividend Total Inflows & Outflows Description BP PLC SPONSORED A/D/R @ 0.84 PER SHARE $630.15 Quantity 750.000 Per Unit Amount Amount 0.84 630.00 Page 8 of 10 EFTA01574731 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 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 500 Stanton Christiana Road, 1/OPS, Newark,DE19713-2107 as soon as you can, if you think your statement is wrong or if you need more information about a transferon the statement. We must hearfrom you no laterthan 60 days afterwe sent you the FIRSTstatement on which the erroror problem appeared. (1) Tellus yourname and account number. (2) Describe the erroror the transferyou are unsure about, and explain as clearlyas you can why you believeit is in erroror why you needmore information. (3) tell us the dollaramount of the suspected error. Ifyou contact us orally, you must send us yourcomplaint or question in writing within 10 business days in orderto preserveyourrights. We will investigateyour complaint and will correct any errorpromptly. Ifwe take more than 10 business days to do this (20 days for purchases using your debit card or for internationaltransactions),we will credit youraccount for the amount you think is in error, so that you will havethe use ofmoneyduring the time it takes us to complete our investigation. In case of errors or questions about your statement, including your line of credit. Ifyou 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 separatesheet describing the errorand send it to: J.P. Morgan's Private Bank, 500 Stanton ChristianaRoad, 1/OPS3, Newark,DE19713-2107. We must hearfrom you no laterthan 60 days afterthe statement on which the erroror problem appearedis sent. You can contact yourclient servicespecialistbut doing so will not preserveyour rights. Pleasereviewyouraccount statement and promptly report any inaccuracyor discrepancyincluding possible unauthorizedtrading activity, unrecordeddividendpayments, and unaccounted cash positions in writing to both the introducing broker, JPMSI 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 InvestorProtection Act (SIPA). If you have any questions please contact your JPMSI Account Representativeor JPMSI ComplianceDepartmentat (212)483-2323. In your letter, please provide the following information: (1) your name and account number; (2) the dollaramount of the suspected error; and (3) a description of the errorand explanation, if you can, why you believethere is an error. Ifyou 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 providedto us by third parties who maynot be independent of the issueror manager. Such information is reflectedas ofthe last date providedto us, and is not independently verified. EFTA01574732 Prices, some ofwhich are providedby pricing servicesor othersources which we deem reliable,are not guaranteedfor accuracyor as realizablevalues. Marketvalueinformation (including without limitation, prices, exchangerates, accruedincome and bond ratings) furnishedhereinhas been obtainedfrom sources that J.P. Morgan believesto be reliableand is furnishedfor the exclusiveuse of the client. J.P. Morgan makes no representation,warrantyor guarantee,express or implied, that any quoted value representsthe actual terms at which transactions or securities could be bought or sold or new transactions could be enteredinto, or the actual terms on which existing transactions or securities could be liquidated. The current price is the valueofthe financialasset share, unit or contract as priced at the close of the marketon the last dayofthe statement periodor the last availableprice. All valuesprovidedfor structured yielddeposits (forexample,JPMorgan London Time Deposits) reflectthe originaldeposit amount only. The current valuefor RealEstate, Minerallnterestsand MiscellaneousAssets maynot reflectthe most current valueof the asset. Valuations of over-the-counterderivativetransactions, including certain derivatives-relateddeposit products, have been preparedon a mid-market basis. These valuations are indicative values as of the close of business of the date of this statement and, except as otherwise agreedin writing, these valuationsdo not representthe actual terms at which transactions or securities could be bought or sold or new transactions could be enteredinto, or the actual terms on which existing transactions or securities could be liquidatedas of the date of this statement. We do not warrant their completeness or accuracy. These valuationsare derivedfrom proprietarymodels basedupon well- recognizedfinancialprinciples and we have, when necessaryto calculate the present valueof future cash flows, made reasonable estimates about relevantfuture market conditions. Valuationsbased on other models or differentassumptions may yield differentresults. J.P. Morgan expresslydisclaims any responsibilityfor (1) the accuracyof the models or estimates used in deriving the valuations, (2) any errors or omissions in computing or disseminating the valuations, and (3)anyuses to which the valuationsare put. Valuations are providedfor information purposes only and are intendedsolelyfor yourown use. Pleasereferto the trade confirmation for details ofeach transaction. Pleasereviewyourstatement promptly and report anydiscrepanciesimmediatelyto an account officerwhose name appearson the contact page of this statement. Important Information RegardingAuction Rate Securities (ARS). ARS are debt or preferredsecurities with an interest or dividend rate reset periodicallyin an auction. Although there may be daily, weeklyand monthly resets, there is no guaranteethat there will be liquidity. If there are not enough bids at an auction to redeemthe securities availablefor sale, the result maybe a failedauction. In a failedauction, there is no assurancethat a secondarymarket will developor that the security will trade at paror anyother price reflectedon statements. Accordingly, investors should not relyon pricing information appearingin theirstatements with respect to ARS. Additional Information About Your Accounts EFTA01574733 Securities purchased or sold through JPMSI (1) other than mutual funds and fixed income securities, are clearedthrough J.P.Morgan ClearingCorp. ("JPMCC"),an affiliateof JPMSI, and (2) other than exchange-listedoptions, are held in your Asset Account at JPMorgan Chase Bank, N.A. Fixed income securities purchased or sold through JPMSI are clearedthrough JPMSI. Positions in exchange-listedoptions are held by J.P.Morgan Clearing Corp. and are not deliveredto or from your Asset Account. For your convenience, however, positions in exchange-listedoptions are presentedin this Asset Account statement togetherwith otherassets held in that account. All pertinentinformation about yoursettled and pending purchasesand sales effected through yourJPMSI account during the period covered by this statement, is summarizedin the "Trade Activity" portion of this statement. Page 9 of 10 EFTA01574734 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/09 to 9/30/09 You should have receivedseparate 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 marketplacewhere executedand governedby and construed in accordance with the laws of the State of New Yorkand all applicablefederallaws and regulations. Furtherinformation with respect to commissions and other charges relatedto the execution of transactions, including options transactions, has been included in confirmations that were previouslyfurnishedto you. Upon written request, JPMSI will promptly supply you with the latest such information. Shareholdersof certain JPMorgan Funds are chargeda redemption fee equalto 2% of the proceeds if they exchangeor redeemshares of such funds within 60 days of purchase, subject to certain exceptions set forth in the prospectus of the applicableFund. Please consult yourJ.P. Morgan representativefora list of the JPMorgan Funds that impose redemption fees. JPMCC and JPMSI are members of the Securities InvestorProtection Corp ("SIPC"),a not-for-profit membership corporation funded by broker-dealers registeredwith the Securities and ExchangeCommission. Securitiesand cash held for a customer at JPMSI 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. Youmay obtain information about SIPC, including the SIPCBrochure, on theirwebsite, at "www.sipc.org" or by contacting them at (202)371-8300. To the extent applicable,pleasereadthe following disclosures regardingestimated annualincome (EAI)and estimated yield (EY):EAland EYfor certain types of securities could include a return of principalor capital gains in which case the EAland EYwould be overstated. EAI and EYare estimates and the actual income and yieldmight be loweror higherthan the estimatedamounts. EYreflects only the income generatedby an investment. It does not reflectchanges in its price, which mayfluctuate. JPMSI, JPMCB or their affiliates(the "J.P. Morgan Companies")may provide administrative, custodial, sales, distribution or shareholderservices to JPMorgan Funds, American CenturyFunds, or funds established, sponsored, advised, or managedby third parties, and the J.P. Morgan Companiesmaybe compensatedfor such services. A financialstatement of this organizationis availableto you for personalinspection at its offices, or a copy will be mailedto you upon written request. Bank products and services are offered through JPMCB and its affiliates. Securities are offered by JPMSI and cleared through JPMCC. Ifa partialcall is made with respect to an issue of securities included in yourAccount we will allocate the call by a method we deem fairand equitable. You must promptly adviseJPMSI ofmaterialchanges in yourinvestment objectivesor financialsituation. Unless you inform JPMSI otherwise, JPMSI EFTA01574735 will considerthe information currentlyin its files to be complete and accurate. JPMSI 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 JPMSI: (1) Are not insured by the Federal Deposit Insurance Corporation, or any other governmental agency; (2) Are not deposits or other obligations of JPMSI's bank or thrift 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. JPMSI's banking affiliatesmay be lenders to issuers of securities that JPMSI underwrites, in which case proceeds of offerings underwritten by JPMSI may be used for the repaymentof such loans, and you should referto the disclosure documents relating to particular securities for discussion of any such lending relationships. The FederalReserverequires that JPMSI obtain your consent before it can obtain certain information from its bank or thrift affiliates, including their credit evaluationof you. We will assume that your continuing to transact business with JPMSI will constitute yourconsent to the sharing ofsuch information by JPMSI and its bankor thrift affiliates,to the extent permitted by law. DEPOSITS IN FOREIGN BRANCHES ARE NOT INSURED BY THE FDIC, THE FEDERAL RESERVE BOARD OR ANY OTHER GOVERNMENTAL AGENCY; AMOUNTS IN THE TIME DEPOSITS DO NOT HAVE THE BENEFIT OF ANY DOMESTIC PREFERENCE APPLICABLE TO U.S. BANKS. Page 10 of 10 EFTA01574736