📄 Extracted Text (15,338 words)
GHISLAINE MAXWELL
MIAMI FL 33139-1043
EFTA01566500
EFTA01566501
For the Period 9/1/13 to 9/30/13
Account Summary
Account
Number
Investment Account(s)
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
i
Total Value
1
Beginning Net
Market Value
5,139,274.77
430.00
1,734,264.94
997,197.48
987,444.55
$8,858,611.74
Ending Net
Market Value
5,186,365.84
430.00
1,851,249.95
1,011,717.77
993,184.92
$9,042,948.48
This account summary is provided for informational purposes and includes
assets at different entities.
(1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit
Insurance Corporation ("FDIC"), except for exchangelisted
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions are generally cleared through
JPMCC, a wholly owned subsidiary of 3PMS. Please see
"Additional Information About Your Accounts" at the end of the Asset Account
Statement.
(2) Assets held in Margin Account at JPMCC, member Financial Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through JPMCC.
Please see disclosures located at the end of this statement package for
important information relating to each 3.P.Morgan account(s).
EFTA01566502
Change
In Value
47,091.07
0.00
116,985.01
14,520.29
5,740.37
$184,336.74
Start on
Page
4
38
43
56
71
Client News
J.P. Morgan Securities LLC's (JPMS LLC) and
J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital
and Net Capital Requirements
At June 30, 2013, JPMS LLC's net capital of $13.8 billion
exceeded the minimum regulatory net capital
requirement of $1.8 billion by $12.0 billion. JPMCC's net
capital of $6.7 billion was approximately 7.9% of
aggregate debit items and exceeded the minimum
regulatory net capital requirement of $1.7 billion by $5.0
billion.
Complete copies of JPMS LLC's and JPMCC's individual
unaudited Statement of Financial Condition may be
obtained, at no cost, by accessing:
http://investor.shareholder.com/jpmorganchase/financialcondition.cfm
Additionally,
you may call 1-866-576-1300 to request a
hard copy of the statement.
A misclassification occurred in your June and July
month-end statements, whereby some taxable
transactions were categorized as non-taxable and vice
versa. All transaction details are now properly
categorized in your account. Please note that this
misclassification did not impact the transaction values or
any holdings or market value(s) in your account(s). The
impacted summary sections have been adjusted and
display properly categorized values in the August
month-end statements. If you would like an updated
statement for June or July, please reach out to your
J.P. Morgan team.
0000038632.00.0.9E.00001.MAXWE04.20131002
Consolidated Statement Page 1
EFTA01566503
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01566504
For the Period 9/1/13 to 9/30/13
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
2,814,353.32
630,227.68
5,249,218.60
151,065.93
$8,844,865.53
13,746.21
$8,858,611.74
Ending
Market Value
2,949,585.43
632,005.08
5,283,906.66
158,652.35
$9,024,149.52
18,798.96
$9,042,948.48
Change
In Value
135,232.11
1,777.40
34,688.06
7,586.42
$179,283.99
5,052.75
$184,336.74
Estimated
115,497.91
12,725.90
68,779.19
Current
Annual Income Allocation
33%
7%
58%
2%
$197,003.00
100%
Equity
EFTA01566505
Alternative
Assets
Asset Allocation
Other
Cash &
Fixed Income
Current
Portfolio Activity
Beginning Market Value
Net Contributions/Withdrawals
Income & Distributions
Change in Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
8,844,865.53
(348.62)
12,446.37
167,186.24
$9,024,149.52
18,798.96
$9,042,948.48
Year-to-Date
Value
8,349,688.16
(298,017.14)
47,277.09
925,201.41
$9,024,149.52
18,798.96
$9,042,948.48
This Consolidated Summary shows all of your investments at J.P. Morgan other
than investments we hold in trust for you. These investments may be held in
custody or investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel take discretion over any client accounts.
Such advice and services are provided exclusively by the Bank.
Consolidated Statement Page 2
EFTA01566506
For the Period 9/1/13 to 9/30/13
Consolidated Summary
INVESTMENT ACCOUNT(S) YEAR-TO-DATE
Portfolio Activity
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Tax Summary
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Account
Number
Account
i
Number
Beginning
Market Value
8,349,258.16
430.00
0.00
0.00
0.00
$8,349,688.16
Taxable
Income
(36,562.61)
41,923.62
21,390.50
13,058.33
$39,809.84
Net Contributions/
Withdrawals
(4,031,823.72)
1,739,269.80
996,867.73
997,669.05
($298,017.14)
EFTA01566507
Tax-Exempt
Income
5,193.25
1,108.27
1,165.73
$7,467.25
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
(20,468.38)
(3,978.62)
(2,552.55)
($26,999.55)
Other Income
& Receipts
Income &
Distributions
(31,369.36)
41,923.62
22,498.77
14,224.06
$47,277.09
Change in
Investment Value
886,179.03
65,709.70
(7,712.36)
(18,974.96)
$925,201.41
Realized Gain/Loss
Short-term
Long-term
(70,239.07)
4.44
30.78
($70,203.85)
Ending Market Value
with Accruals
5,186,365.84
430.00
1,851,249.95
1,011,717.77
993,184.92
$9,042,948.48
Unrealized
Gain/Loss'
27,617.89
86,173.64
(3,764.52)
(16,422.41)
$93,604.60
CONTINUED
EFTA01566508
Consolidated Statement Page 3
EFTA01566509
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
, New York, NY 10017-2014
ACCT.
For the Period 9/1/13 to 9/30/13
Asset Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.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
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Page
2
5
8
9
14
16
Account Page 1 of 34
Consolidated Statement Page 4
EFTA01566510
GHISLAINE MAXWELL
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
955,872.67
66,756.11
3,956,450.72
151,065.93
$5,130,145.43
9,129.34
$5,139,274.77
Ending
Market Value
969,621.57
63,386.38
3,980,583.81
158,652.35
$5,172,244.11
14,121.73
$5,186,365.84
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
(198.71)
1,281,215.21
(1,281,016.50)
$0.00
3,015.69
39,082.99
$5,172,244.11
14,121.73
$5,186,365.84
Period Value
EFTA01566511
5,130,145.43
Change
In Value
13,748.90
(3,369.73)
24,133.09
7,586.42
$42,098.68
4,992.39
$47,091.07
Year-to-Date
Value
8,349,258.16
849,480.50
(4,001,990.63)
11,753,103.76
(12,632,417.35)
($4,031,823.72)
(31,369.36)
886,179.03
$5,172,244.11
14,121.73
$5,186,365.84
Estimated
50,794.36
21,317.29
$72,111.65
Current
Annual Income Allocation
21%
1%
75%
3%
100%
Cash &
Fixed Income
Equity
Other
Alternative
Assets
Asset Allocation
ACCT.
For the Period 9/1/13 to 9/30/13
Account Page 2 of 34
Consolidated Statement Page 5
EFTA01566512
GHISLAINE MAXWELL
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
603.19
874.00
24.99
1,513.51
$3,015.69
Year-to-Date
Value
7,799.46
8,190.63
(107,915.84)
55,363.14
($36,562.61)
8,750.00
(3,556.75)
$5,193.25
Unrealized Gain/Loss
To-Date Value
$27,617.89
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(70,239.07)
($70,239.07)
ACCT.
For the Period 9/1/13 to 9/30/13
Note: * This summary is for informational purposes only and is not to be
used for any financial or tax purposes. This summary does not include
securities which are taxable at the
federal level but are state exempt. This summary may not include all income
derived from Municipal Securities; Please consult your tax advisor for tax
implications.
1 Other category combines all the remaining Tax Exempt Income generated by
securities in the account which may not have a state affiliation.
Tax-Exempt Income
EFTA01566513
Summary by State*
MA
MI
Current
Period Value
Year-to-Date
Value
1,410.07
708.94
Tax-Exempt Income
Summary by State*
TX
Tax-Exempt Income
Current
Period Value
Year-to-Date
Value
3,074.24
$5,193.25
Account Page 3 of 34
Consolidated Statement Page 6
EFTA01566514
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
944,362.24
3,967,055.93
92,027.29
$5,003,445.46
Account Page 4 of 34
Consolidated Statement Page 7
EFTA01566515
GHISLAINE MAXWELL
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
292,573.99
4,290.00
135.18
445,152.00
213,721.50
$955,872.67
Ending
Market Value
299,641.71
10,050.00
146.86
444,174.00
215,609.00
$969,621.57
Current
Period Value
969,621.57
944,362.24
25,259.33
50,794.36
7,305.33
5.22%
US Large Cap Equity
Change
In Value
7,067.72
5,760.00
11.68
(978.00)
1,887.50
$13,748.90
Current
Allocation
EFTA01566516
6%
1%
1%
9%
4%
21%
Preferred Stocks
US Small/Mid Cap Equity
Non-US Equity
Asset Cate ories
ACCT.
For the Period 9/1/13 to 9/30/13
Concentrated & Other Equity
Equity as a percentage of your portfolio - 21 %
Account Page 5 of 34
Consolidated Statement Page 8
EFTA01566517
GHISLAINE MAXWELL
ACCT.
For the Period 9/1/13 to 9/30/13
Equity Detail
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
BANK OF AMERICA CORP
CITIGROUP INC NEW
SCHLUMBERGER LTD
SPDR S&P 500 ETF TRUST
Total US Large Cap Equity
060505-10-4 BAC
48.51
172967-42-4 C
88.36
806857-10-8 SLB
168.01
78462F-10-3 SPY
$299,641.71
$295,532.56
$4,109.15
1,495.000
251,174.95
250,407.85
767.10
113.000
9,984.68
9,524.04
460.64
141.25
35.31
5,072.53
1,252.74
$5,341.86
$1,288.05
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 BP
1.41%
2.02%
1.78%
358.000
17,366.58
14,048.52
3,318.06
EFTA01566518
14.32
0.08%
13.80
944.000
13,027.20
10,148.85
2,878.35
37.76
0.29%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
85.14
95.000
8,088.30
11,403.30
(3,315.00)
76.00
0.94%
3.35
3,000.000
10,050.00
18,129.32
(8,079.32)
48.95
3.000
146.86
212.23
(65.37)
Account Page 6 of 34
Consolidated Statement Page 9
EFTA01566519
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Price
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PN NA /BA1
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
25.42
2,500.000
63,550.00
$444,174.00
62,500.00
$422,578.96
1,050.00
$21,595.04
4,187.50
1,046.88
$31,227.50
$1,046.88
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
VAR RT PFD STK 04/30/2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
Total Concentrated & Other Equity
$215,609.00
$207,909.17
$7,699.83
$14,225.00
$4,970.40
6.55%
110.31
150,000.000
165,459.00
157,909.17
7,549.83
11,850.00
4,970.40
7.10%
6.59%
7.03%
EFTA01566520
25.22
4,200.000
105,924.00
98,778.96
7,145.04
7,350.00
6.94%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.47
10,000.000
274,700.00
261,300.00
13,400.00
19,690.00
7.17%
50.15
1,000.000
50,150.00
50,000.00
150.00
2,375.00
4.74%
Account Page 7 of 34
Consolidated Statement Page 10
EFTA01566521
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
66,756.11
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JEO0B1VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$63,386.38
$76,999.78
128.18
190.000
24,354.20
31,931.40
129.68
301.000
39,032.18
45,068.38
Quantity
Estimated
Value
Cost
Ending
Estimated Value
63,386.38
Change
In Value
(3,369.73)
Current
Allocation
1%
Account Page 8 of 34
Consolidated Statement Page 11
EFTA01566522
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
2,642,723.04
227,948.14
312,939.50
618,791.14
154,048.90
$3,956,450.72
Ending
Market Value
2,740,074.68
132,277.29
319,883.17
626,655.93
161,692.74
$3,980,583.81
Current
Period Value
3,980,583.81
3,967,055.93
13,527.88
21,317.29
6,816.40
0.43%
US Fixed Income
Change
In Value
97,351.64
(95,670.85)
6,943.67
7,864.79
7,643.84
$24,133.09
Current
EFTA01566523
Allocation
51%
3%
6%
12%
3%
75%
Non-USD Short Term
Non-US Fixed Income
Non-USD Cash
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 75 %
Account Page 9 of 34
Consolidated Statement Page 12
EFTA01566524
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
3,455,098.81
309,603.00
215,882.00
$3,980,583.81
% of Bond
Portfolio
88%
7%
5%
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.
Note:
P indicates position adjusted for Pending Trade Activity.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MMKT FD - MORGAN
FUND 3
7-Day Annualized Yield: .01%
Total Cash
1.00
1.00
2,740,073.68
1.00
2,740,073.68
1.00
$2,740,074.68
2,740,073.68
1.00
$2,740,074.68
$0.00
$274.00
$22.20
0.01%
EFTA01566525
274.00
22.20
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Total Value
Market
Value
2,740,074.68
132,277.29
309,603.00
215,882.00
561,339.05
21,407.79
$3,980,583.81
A - Bonds purchased at a premium show amortization.
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.
% of Bond
Portfolio
70%
3%
7%
5%
14%
1%
100%
Account Page 10 of 34
Consolidated Statement Page 13
EFTA01566526
GHISLAINE MAXWELL
ACCT.
For the Period 9/1/13 to 9/30/13
Price
Non-USD Cash
P
AUSTRALIAN DOLLAR
POUND STERLING
HONG KONG DOLLAR
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.94
1.62
0.13
0.49
100.00
8,590.32
950.00
239,000.00
93.50
13,911.16
122.50
118,150.13
$132,277.29
103.25
13,510.29
122.44
124,045.53
$137,781.51
(9.75)
400.87
0.06
(5,895.40)
($5,504.22)
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
97.29
LONDON TIME DEPOSITS 0.5700%
DATED 09/25/2013 MATURITY 10/02/2013
EFTA01566527
HELD BY LONDON TREASURY SERVICES
Bearer
2537A9-9S-9 AD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.9000%
DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES
Bearer
2537B9-9B-5 OK
Total Non-USD Short Term
$319,883.17
$323,771.22
($3,888.05)
$2,505.74
$41.75
0.91%
16.63
1,243,727.33
206,796.74
209,933.62
(3,136.88)
1,861.16
31.01
1.08%
116,241.54
113,086.43
113,837.60
(751.17)
644.58
10.74
0.61%
Account Page 11 of 34
Consolidated Statement Page 14
EFTA01566528
GHISLAINE MAXWELL
ACCT.
For the Period 9/1/13 to 9/30/13
Price
US Fixed Income
P JPM MANAGED RESERVES FD - GBP-C-DIST
ISIN LU0539309053
051398-91-5 BP
ISHARES GBP CORPORATE BOND UCITS ETF
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 BP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /BAA
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /A1
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
110.11
50,000.00
55,056.00
53,444.51
55,424.00
1,611.49
2,500.00
1,250.00
4.00%
104.70
150,000.00
157,047.00
150,000.00
7,047.00
5,400.00
2,040.00
2.04%
99.54
50,000.00
49,772.00
45,394.50
EFTA01566529
4,377.50
237.55
33.65
0.65%
102.78
100,000.00
102,784.00
100,000.00
2,784.00
2,900.00
1,337.20
1.51%
10,309.31
203.88
7.74
105.00
79,763.14
21,407.79
81,082.31
19,023.08
(1,319.17)
925.05
2,384.71
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 12 of 34
Consolidated Statement Page 15
EFTA01566530
GHISLAINE MAXWELL
ACCT.
For the Period 9/1/13 to 9/30/13
Price
US Fixed Income
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$626,655.93
$607,923.20
$615,466.89
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 BP
ISHARES GBP INDEX-LINKED GILTS
UCITS ETF
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 BP
Total Non-US Fixed Income
$161,692.74
$157,505.32
$4,187.42
$0.00
0.00%
21.32
5,790.00
123,450.58
118,212.32
5,238.26
203.53
187.90
38,242.16
39,293.00
(1,050.84)
$18,732.73
$18,537.55
$6,752.45
2.28%
104.64
50,000.00
EFTA01566531
52,321.00
52,041.90
54,040.00
279.10
2,500.00
527.75
4.63%
108.51
100,000.00
108,505.00
106,936.90
110,503.00
1,568.10
5,000.00
638.80
4.24%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 13 of 34
Consolidated Statement Page 16
EFTA01566532
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
151,065.93
Ending
Estimated Value
158,652.35
Change
In Value
7,586.42
Current
Allocation
3%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
158,652.35
92,027.29
2,444.08
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
Other Detail
Price
Balanced
JPM INC OPP FD - GBP - A - DIST(HDG)
ISIN LU0323456201
287991-93-9 BP
146.23
450.272
65,844.09
1,663.11 **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 14 of 34
EFTA01566533
Consolidated Statement Page 17
EFTA01566534
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced
$158,652.35
$92,027.29
$2,444.08
21.28
4,361.513
92,808.26
90,364.18
2,444.08
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 15 of 34
Consolidated Statement Page 18
EFTA01566535
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$2,740,073.68
17,190.60
(250,407.85)
($233,217.25)
-$0.00
$0.00
$0.00
-96,727.31
$97,351.64
Period
Value
2,642,722.04
624.33
Year-To-Date
Value*
-58,542.28
849,480.50
204,459.12
$1,112,481.90
(4,000,000.00)
($4,000,000.00)
$0.00
$0.00
INCOME
Current
Period
Value
0.00
Year-To-Date
EFTA01566536
Value*
-$0.00
$0.00
Current
Cost
Adjustments
Amortization
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
(3,556.75)
($3,556.75)
Account Page 16 of 34
Consolidated Statement Page 19
EFTA01566537
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - U S Dollar
* 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 - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
9/3
9/3
9/4
9/27
Interest Income
Div Domest
Spot FX
Div Domest
Total Inflows & Outflows
Description
DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$2,540,774.91 AS OF 09/01/13
GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE
(ID: 37045V-20-9)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
INR EXCHANGE RATE 67.257200000 DEAL 08/27/13
VALUE 08/30/13 (ID: OINRPR-CV-0)
BANK OF AMERICA CORP @ 0.01 PER SHARE
(ID: 060505-10-4)
944.000
0.01
9.44
$97,351.64
1,000.000
(6,505,608.220 )
(96,727.31)
0.594
593.75
96,727.31
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
21.14
INCOME
Amount
Account Page 17 of 34
EFTA01566538
Consolidated Statement Page 20
EFTA01566539
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-52.97
$52.97
(52.97)
($52.97)
-Year-To-Date
Value*
-507.19
$507.19
(507.19)
($507.19)
-Local
Value
Current
Period Value
0.00
54.91
54.91
(54.91)
(54.91)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01566540
Year-To-Date
Value*
--Year-To-Date
Value*
-519.19
519.19
(519.19)
(519.19)
-Account
Page 18 of 34
Consolidated Statement Page 21
EFTA01566541
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
448,260.65
(448,207.68)
Year-To-Date
Value*
3,851,045.24
(4,305,402.00)
* 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 - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/4
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 08/28/2013 MATURITY 09/04/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2536R9-9J-3)
9/4
9/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/04/2013 MATURITY 09/11/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2536T9-9H-5)
9/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(12.880)
(12.44)
(12.88)
Account Page 19 of 34
Consolidated Statement Page 22
(12.880)
116,199.510
(12.22)
(12.88)
EFTA01566542
12.44
12.88
Quantity
116,186.630
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.22
12.88
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01566543
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/18
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6700% DATED 09/11/2013 MATURITY 09/18/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2536V9-9R-0)
9/18
9/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 09/18/2013 MATURITY 09/25/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2536X9-9U-1)
9/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
9/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/04/2013 MATURITY 09/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536T9-9H-5)
(14.010)
(13.60)
(14.01)
$0.00
(15.140)
116,227.530
(14.71)
(15.14)
13.60
14.01
Quantity
116,212.390
Amount USD
Local Value
EFTA01566544
PRINCIPAL
Amount USD
Local Value
14.71
15.14
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* 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
Cost
116,199.510
113,796.85
Transaction
Market Value *
110,240.98
Account Page 20 of 34
Consolidated Statement Page 23
EFTA01566545
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
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
Settle Date Selection Method
Securities Transferred In
9/11
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6700% DATED 09/11/2013 MATURITY 09/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536V9-9R-0)
9/18
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 09/18/2013 MATURITY 09/25/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536X9-9U-1)
9/25
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537A9-9S-9)
Total Securities Transferred In
Securities Transferred Out
9/4
Free Delivery
$448,260.65
116,241.540
113,837.60
112,861.34
116,227.530
113,824.00
112,935.46
Quantity
Cost
116,212.390
113,809.29
Transaction
Market Value *
112,222.87
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 08/28/2013 MATURITY 09/04/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536R9-9J-3)
EFTA01566546
9/11
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 09/04/2013 MATURITY 09/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536T9-9H-5)
(116,199.510)
113,796.85
(112,210.43)
(116,186.630)
113,784.63
(110,228.76)
Account Page 21 of 34
Consolidated Statement Page 24
EFTA01566547
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
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
Settle Date Selection Method
Securities Transferred Out
9/18
Free Delivery
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6700% DATED 09/11/2013 MATURITY 09/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536V9-9R-0)
9/25
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 09/18/2013 MATURITY 09/25/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536X9-9U-1)
Total Securities Transferred Out
($448,207.68)
(116,227.530)
113,824.00
(112,847.74)
Quantity
Cost
(116,212.390)
113,809.29
Transaction
Market Value *
(112,920.75)
Account Page 22 of 34
Consolidated Statement Page 25
EFTA01566548
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Indian Rupee
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Foreign Exchange - Outflows
TRADE ACTIVITY
Total Trade Activity
Period Value
-1,293.66
$1,293.66
(96,727.31)
($96,727.31)
Settled
Sales/Maturities/Redemptions
Ending Cash Balance
95,433.65
$95,433.65
-Year-To-Date
Value*
-1,293.66
$1,293.66
(96,727.31)
($96,727.31)
95,433.65
$95,433.65
-Local
Value
Current
Period Value
0.00
87,008.22
87,008.22
(6,505,608.22)
(6,505,608.22)
6,418,600.00
6,418,600.00
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
EFTA01566549
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Year-To-Date
Value*
-87,008.22
87,008.22
(6,505,608.22)
(6,505,608.22)
6,418,600.00
6,418,600.00
-Account
Page 23 of 34
Consolidated Statement Page 26
EFTA01566550
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Indian Rupee
* 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 - Indian Rupee
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/4
Accrued Int Recd
Description
INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM
TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY
EUROCLEAR ISIN XS0495010562 SEDOL 85114T3
(ID: OINRPR-CV-0)
9/4
Spot FX
Total Inflows & Outflows
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
INR EXCHANGE RATE 67.257200000 DEAL 08/27/13
VALUE 08/30/13 (ID: OINRPR-CV-0)
($95,433.65)
$0.00
96,727.310
(96,727.31)
(6,505,608.22)
Quantity
87,008.220
Amount USD
Local Value
0.015
1.00
PRINCIPAL
Amount USD
Local Value
1,293.66
87,008.22
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Account Page 24 of 34
Consolidated Statement Page 27
EFTA01566551
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
TRADE ACTIVITY - Indian Rupee
Note:
Trade Date
Settle Date
8/27
9/4
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM
TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY
EUROCLEAR ISIN XS0495010562 SEDOL 85114T3
(ID: U45818-9G-5)
Quantity
(6,700,000.000 )
L indicates Long Term Realized Gain/Loss
C indicates Currency Gain/Loss
* Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Amount USD
Local Value
1.424
95.80
Proceeds USD
Local Value
95,433.65
6,418,600.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(143,232.17)
(6,465,500.00)
(697.32) L *
(47,101.20) C
Account Page 25 of 34
Consolidated Statement Page 28
EFTA01566552
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-145.74
$145.74
(145.74)
($145.74)
-Year-To-Date
Value*
-1,462.09
$1,462.09
(1,462.09)
($1,462.09)
-Local
Value
Current
Period Value
0.00
870.23
870.23
(870.23)
(870.23)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01566553
Year-To-Date
Value*
--Year-To-Date
Value*
-8,491.36
8,491.36
(8,491.36)
(8,491.36)
-Account
Page 26 of 34
Consolidated Statement Page 29
EFTA01566554
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Norwegian Krone
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
832,954.56
(832,808.82)
Year-To-Date
Value*
7,902,058.52
(8,327,015.35)
* 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 - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/4
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2536R9-9S-3)
9/4
9/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2536T9-9T-9)
9/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(217.540)
(36.69)
(217.54)
Account Page 27 of 34
Consolidated Statement Page 30
(217.500)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,074.600
0.9000% DATED 09/04/2013 MATURITY 09/11/2013
(35.76)
(217.50)
36.69
217.54
Quantity
EFTA01566555
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,242,857.100
0.9000% DATED 08/28/2013 MATURITY 09/04/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
35.76
217.50
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01566556
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/18
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2536W9-9B-4)
9/18
9/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2536Y9-9H-9)
9/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
9/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/04/2013 MATURITY 09/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536T9-9T-9)
(217.610)
(36.42)
(217.61)
$0.00
(217.580)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,509.720
0.9000% DATED 09/18/2013 MATURITY 09/25/2013
(36.87)
(217.58)
36.42
217.61
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,292.140
0.9000% DATED 09/11/2013 MATURITY 09/18/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01566557
Local Value
36.87
217.58
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* 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
Cost
1,243,074.600
209,823.64
Transaction
Market Value *
204,369.02
Account Page 28 of 34
Consolidated Statement Page 31
EFTA01566558
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
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
Settle Date Selection Method
Securities Transferred In
9/11
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/11/2013 MATURITY 09/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536W9-9B-4)
9/18
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/18/2013 MATURITY 09/25/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536Y9-9H-9)
9/25
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/25/2013 MATURITY 10/02/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253769-9B-5)
Total Securities Transferred In
Securities Transferred Out
9/4
Free Delivery
$832,954.56
1,243,727.330
209,933.62
208,174.36
1,243,509.720
209,897.20
210,721.49
Quantity
Cost
1,243,292.140
209,860.33
Transaction
Market Value *
209,689.69
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 08/28/2013 MATURITY 09/04/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536R9-9S-3)
EFTA01566559
9/11
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/04/2013 MATURITY 09/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536T9-9T-9)
(1,243,074.600 )
209,823.64
(209,653.00)
(1,242,857.100 )
209,787.88
(204,333.26)
Account Page 29 of 34
Consolidated Statement Page 32
EFTA01566560
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
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
Settle Date Selection Method
Securities Transferred Out
9/18
Free Delivery
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/11/2013 MATURITY 09/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536W9-9B-4)
9/25
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 09/18/2013 MATURITY 09/25/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536Y9-9H-9)
Total Securities Transferred Out
($832,808.82)
(1,243,509.720 )
209,897.20
(208,137.94)
Quantity
Cost
(1,243,292.140 )
209,860.33
Transaction
Market Value *
(210,684.62)
Account Page 30 of 34
Consolidated Statement Page 33
EFTA01566561
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Tax Payments
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
$0.00
Ending Cash Balance
-Period
Value
-874.00
$874.00
Year-To-Date
Value*
-6,461.44
$6,461.44
(21.35)
($21.35)
(1,663.11)
($1,663.11)
-0.00
Local
Value
Current
Period Value
8,617.80
543.75
543.75
Year-To-Date
Value*
-4,200.92
4,200.92
(13.37)
(13.37)
0.00
9,161.55
INCOME
US
Dollar Value
EFTA01566562
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--(1,095.27)
(1,095.27)
-Account
Page 31 of 34
Consolidated Statement Page 34
EFTA01566563
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary - Pound Sterling
* 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 - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
9/18
9/30
Foreign Dividend
Foreign Dividend
Description
ISHARES GBP CORPORATE BOND UCITS ETF ISIN
IE00B00FV011 SEDOL BOOFV01 @ 1.133 PER SHARE
(ID: 461278-91-3)
PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL
INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843
SEDOL B3BMD84 @ 0.097392 PER SHARE CONY. @
"CONY RATE" (ID: 695421-91-7)
Total Inflows & Outflows
$874.00
$0.00
4,361.513
0.157
0.097
684.81
424.78
Quantity
105.000
Amount USD
Local Value
1.802
1.133
PRINCIPAL
Amount USD
Local Value
189.19
118.97
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Account Page 32 of 34
Consolidated Statement Page 35
EFTA01566564
EFTA01566565
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
TRADE ACTIVITY - Pound Sterling
F indicates Foreign Exchange Gain/Loss
Note:
Per Unit
Trade Date
Est. Settle Date Type
Pending Securities Purchased
9/30
Purchase
9/30
Description
3PM MANAGED RESERVES FD - GBP-C-DIST ISIN
LU0539309053 (ID: 051398-91-5)
Quantity
0.090
Amount USD
Local Value
10,309.31
6,366.13
Market
Cost USD
Local Value
(925.05)
(571.23)
Currency
Gain/Loss USD
24.99
Account Page 33 of 34
Consolidated Statement Page 36
EFTA01566566
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
INDIAN RUPEE
U S DOLLAR
Aug. 27 13
Sep. 4 13
INR
USD
Amount
Counter Amount Contract Rate Revaluation Rate
(6,505,608.22)
96,727.31
67.257200
67.257200
Contracted Base
Amount USD
96,727.31
Revalued
Amount USD
(96,727.31)
Currency G/L
Account Page 34 of 34
Consolidated Statement Page 37
EFTA01566567
J.P. Morgan Securities LLC
GHISLAINE MAXWELL
, New York, NY 10179
ACCT.
For the Period 9/1/13 to 9/30/13
Margin Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Transactions cleared and carried through J.P. Morgan Clearing Corp. Three
Chase Metrotech Center, Brooklyn, NY 11245-0001,
(347) 643-2578
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
Holdings
Cash & Fixed Income
Portfolio Activity
3
5
Page
2
Account Page 1 of 5
Consolidated Statement Page 38
EFTA01566568
GHISLAINE MAXWELL
Account Summary
MARGIN
Cash
Asset Allocation
Cash & Fixed Income
Market Value
Market Value
0.00
$0.00
Margin
Market Value
430.00
$430.00
Current
Portfolio Activity
Beginning Market Value
Ending Market Value
Cost Summary
Cash & Fixed Income
Total
Period Value
430.00
$430.00
Short
Market Value
0.00
$0.00
Year-to-Date
Value
430.00
$430.00
430.00
Cost
$430.00
Investment Objectives
Speculation Permitted
Capital Appreciation
Total
430.00
$430.00
Estimated
$0.00
Current
Market Value Annual Income Allocation
100%
100%
ACCT.
For the Period 9/1/13 to 9/30/13
Yes
Yes
EFTA01566569
Account Page 2 of 5
Consolidated Statement Page 39
EFTA01566570
GHISLAINE MAXWELL
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Market Value
430.00
ACCT.
For the Period 9/1/13 to 9/30/13
Ending
Market Value
430.00
Change
In Value
0.00
Current
Allocation
100%
Current
Market Value/Cost
Market Value
Tax Cost
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1
Period Value
430.00
430.00
SUMMARY BY TYPE
Market
Value
430.00
% 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
430.00
% of Bond
Portfolio
100%
Account Page 3 of 5
Consolidated Statement Page 40
EFTA01566571
EFTA01566572
GHISLAINE MAXWELL
ACCT.
For the Period 9/1/13 to 9/30/13
Cash & Fixed Income Detail
Quantity
Price
Cash
US DOLLAR
1.00
430.00
Margin
430.00
430.00
Account
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 4 of 5
Consolidated Statement Page 41
EFTA01566573
GHISLAINE MAXWELL ACCT.
For the Period 9/1/13 to 9/30/13
Portfolio Activity Summary
PRINCIPAL
Current
Transactions
Portfolio Activity Detail
Beginning Cash Balance
Ending Cash Balance
Period Value
430.00
$430.00
Year-To-Date
Value
--INCOME
Current
Period
Value
0.00
$0.00
Year-To-Date
Value
--No
Activity This Period
Account Page 5 of 5
Consolidated Statement Page 42
EFTA01566574
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01566575
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - OAP IHD
, New York, NY 10017-2014
ACCT.
For the Period 9/1/13 to 9/30/13
Investment Management Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.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
Portfolio Activity
4
10
Account Page 1 of 13
Consolidated Statement Page 43
EFTA01566576
GHISLAINE MAXWELL - OAP IHD
Account Summary
Asset Allocation
Equity
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,730,444.30
$1,730,444.30
3,820.64
$1,734,264.94
Ending
Market Value
1,846,903.12
$1,846,903.12
4,346.83
$1,851,249.95
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
(348.62)
($348.62)
3,580.97
113,226.47
$1,846,903 12
4,346.83
$1,851,249.95
Period Value
1,730,444.30
Change
In Value
116,458.82
$116,458.82
526.19
$116,985.01
Year-to-Date
Value
0.00
1,750,000.00
(10,730.20)
$1,739,269.80
EFTA01566577
41,923.62
65,709.70
$1,846,903.12
4,346.83
$1,851,249.95
Estimated
61,598.39
$61,598.39
Current
Annual Income Allocation
100%
100%
ACCT.
For the Period 9/1/13 to 9/30/13
Account Page 2 of 13
Consolidated Statement Page 44
EFTA01566578
GHISLAINE MAXWELL OAP IHD
Account Summary
Tax Summary
Foreign Dividends
Inter
ℹ️ Document Details
SHA-256
359bcd14b38579f7901498582ef2af87cfc1ba898e68c7f3d756a5e45c8dac26
Bates Number
EFTA01566500
Dataset
DataSet-10
Document Type
document
Pages
156
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