EFTA01519296.pdf

OMISLAINE MAXWELL - OAP DID ACCT. For the Period 1/1/14 to 1/31/14 Trade Date Type Per Unit Realized Sett* Date Selection Method Description Quantity Amount Proceeds Tax Cost Gain/Loss Settled Sales/Maturities/Redemptions 1/14 Sale SMITHS GROUP PLC SPONSORED ADR 0 24.4569 (110600) 24.428 2,686.91 (2,279.28) 407.65 S 1/17 High Cost 2,690.26 BROKERAGE 3.30 TAX 8/OR SEC .05 FIDEUTY CAPITAL MARKETS (ID: 83238P-20-3) 1/22 Sale ME SYSTEMS PLC SPONS ADR 02 28.9174 10,844.03 (375.000) 28.887 10,832.59 (8,949.48) 1,883.11 S 1/27 High Cost BROKERAGE 11.25 TAX 8/OR SEC 19 FIDEUTY CAPITAL MARKETS (ID: 05523R-I0-7) 1/23 Sale ALSTOM ADR 0 3.0846 10,358.35 BROKERAGE 33.80 (3,380.000) 3.065 10,324.38 (12,444.81) (2.120.45) S 1/28 High Cost TAX 8/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 02124420.7) 1/23 Sale BAE SYSTEMS PLC SPONS ADR 0 29.0186 10,446.70 (360.000) 28.988 10,435.71 (8,167.90) 2,267.81 S 1/28 High Cost BROKERAGE 10.80 TAX 8/OR SEC .19 FIDEUTY CAPITAL MARKETS (ID: 06523R-10-7) 1/24 Sale ALSTOM ADR 0 2.9547 9,144.80 BROKERAGE 30.95 (3,095.000) 2.945 9,113.69 (11,380.18) (2246.49) S 1/29 High Cost TAX 8/OR SEC .16 FIDELITY CAPITAL MARKETS (ID: 021244-20-7) 1/27 Sale ALSTOM ADR 0 2.874 2,069.28 BROKERAGE 7.20 TAX (720.000) 2.864 2.062 04 (2,634.91) (572.87) S 1/30 High Cost 8/OR SEC .04 FIDEUTY CAPITAL MARKETS (ID: 021244-20-7) Total Settled Sales/Maturities/Redemptions 579,131.50 (369,981.19) 8%150.32 Trade Date Per Unit Settle Date Type Description Quantity Amount Market Cost Settled Securities Purchased 1/9 Purchase BNP PARIBAS ADR 0 39.8941 28.324.81 BROKERAGE 710.000 40.004 (28.402 76) 1/14 21.30 TAX 8/OR SEC 56.65 FIDELITY CAPITAL MARKETS (ID: 05565A-20-2) JP Morgan Page 13 of 15 Confidential Treatment Requested by JPMorgan JPM-SDNY-00046580 Chase CONFIDENTIAL SDNY_GM_00315778 EFTA01519296