📄 Extracted Text (9,388 words)
GHISLAINE MAXWELL
MIAMI FL 33139-1043
EFTA01567563
EFTA01567564
For the Period 3/1/14 to 3/31/14
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
5,275,564.06
0.00
150,094.44
126,444.68
19,270.99
$5,571,374.17
Ending Net
Market Value
5,252,771.59
0.00
1,937.95
0.00
0.00
$5,254,709.54
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).
EFTA01567565
Change
In Value
(22,792.47)
0.00
(148,156.49)
(126,444.68)
(19,270.99)
($316,664.63)
Start on
Page
4
28
29
36
40
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 December 31, 2013, JPMS LLC's net capital of $12.8
billion exceeded the minimum regulatory net capital
requirement of $2.0 billion by $10.8 billion. JPMCC's net
capital of $7.1 billion was approximately 7.6% of
aggregate debit items and exceeded the minimum
regulatory net capital requirement of $1.8 billion by $5.3
billion.
Complete copies of JPMS LLC's and JPMCC's individual
audited Statement of Financial Condition may be
obtained, at no cost, by accessing:
http://investor.shareholder.com/jpmorganchase/financialcondition.cfm
Additionally,
you may call to request a
hard copy of the statement.
0000041541.00.0.9E.00001.MAXWE04.20140402
Consolidated Statement Page 1
EFTA01567566
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567567
For the Period 3/1/14 to 3/31/14
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,305,733.71
63,067.77
4,014,098.76
167,376.76
$5,550,277.00
21,097.17
$5,571,374.17
Ending
Market Value
1,095,300.46
61,213.24
4,084,359.17
0.00
$5,240,872.87
13,836.67
$5,254,709.54
Change
In Value
(210,433.25)
(1,854.53)
70,260.41
(167,376.76)
($309,404.13)
(7,260.50)
($316,664.63)
Estimated
50,258.57
18,537.55
$68,796.12
Current
Annual Income Allocation
21%
1%
78%
Equity
100%
Cash &
Fixed Income
EFTA01567568
Alternative
Assets
Asset Allocation
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
5,550,277.00
(291,125.83)
761.34
(19,039.64)
$5,240,872.87
13,836.67
$5,254,709.54
Year-to-Date
Value
9,254,763.38
(4,054,544.24)
52,922.00
(12,268.27)
$5,240,872.87
13,836.67
$5,254,709.54
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
EFTA01567569
For the Period 3/1/14 to 3/31/14
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
5,251,123.87
430.00
1,964,165.75
1,036,257.60
1,002,786.16
$9,254,763.38
Taxable
Income
93.73
41,504.64
5,012.30
4,118.67
$50,729.34
$2,192.66
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
Net Contributions/
Withdrawals
251.11
(430.00)
EFTA01567570
(1,987,663.54)
(1,053,881.66)
(1,012,820.15)
($4,054,544.24)
Tax-Exempt
Income
2,192.66
Other Income
& Receipts
41,504.64
5,012.30
4,118.67
$52,922.00
(18,006.85)
12,611.76
5,915.32
($12,268.27)
Realized Gain/Loss
Short-term
36.33
9,772.82
400.50
(1,968.26)
$8,241.39
Long-term
21,985.40
1,562.35
(43.12)
$23,504.63
$65,170.06
Income &
Distributions
2,286.39
Change in
Investment Value
(12,788.50)
Ending Market Value
with Accruals
5,252,771.59
0.00
1,937.95
0.00
0.00
$5,254,709.54
Unrealized
Gain/Loss,
65,170.06
CONTINUED
Consolidated Statement Page 3
EFTA01567571
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
, New York, NY 10017-2014
ACCT.
For the Period 3/1/14 to 3/31/14
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
12
13
Account Page 1 of 24
Consolidated Statement Page 4
EFTA01567572
GHISLAINE MAXWELL
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,116,133.63
63,067.77
3,920,455.07
167,376.76
$5,267,033.23
8,530.83
$5,275,564.06
Ending
Market Value
1,095,300.46
61,213.24
4,084,359.17
0.00
$5,240,872.87
11,898.72
$5,252,771.59
Change
In Value
(20,833.17)
(1,854.53)
163,904.10
(167,376.76)
($26,160.36)
3,367.89
($22,792.47)
Estimated
50,258.57
18,537.55
$68,796.12
Current
Annual Income Allocation
22%
1%
77%
100%
Equity
Cash &
Fixed Income
Alternative
EFTA01567573
Assets
Asset Allocation
ACCT.
For the Period 3/1/14 to 3/31/14
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
($178.90)
(10,447.23)
(15,534.23)
$5,240,872.87
11,898.72
$5,252,771.59
(178.90)
Period Value
5,267,033.23
Year-to-Date
Value
5,251,123.87
430.00
(547.48)
2,164,805.86
(2,164,437.27)
$251.11
2,286.39
(12,788.50)
$5,240,872.87
11,898.72
$5,252,771.59
Account Page 2 of 24
Consolidated Statement Page 5
EFTA01567574
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
421.34
198.73
(11,110.81)
43.51
($10,447.23)
Year-to-Date
Value
1,909.39
928.06
(11,110.81)
8,367.09
$93.73
3,750.00
(1,557.34)
$2,192.66
Unrealized Gain/Loss
To-Date Value
$65,170.06
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
36.33
21,985.40
$22,021.73
Year-to-Date
Value
36.33
21,985.40
$22,021.73
ACCT.
For the Period 3/1/14 to 3/31/14
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
EFTA01567575
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
Summary by State*
MA
TX
Current
Period Value
Year-to-Date
Value
692.64
1,500.02
Tax-Exempt Income
Summary by State*
Tax-Exempt Income
Current
Period Value
Year-to-Date
Value
$2,192.66
Account Page 3 of 24
Consolidated Statement Page 6
EFTA01567576
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Total
CONTINUED
4,064,233.02
Cost
1,034,470.01
$5,098,703.03
Account Page 4 of 24
Consolidated Statement Page 7
EFTA01567577
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
489,081.56
14,265.00
172.57
445,348.00
167,266.50
$1,116,133 63
Ending
Market Value
472,353.96
6,270.00
0.00
448,600.00
168,076.50
$1,095,300.46
Current
Period Value
1,095,300.46
1,034,470.01
60,830.45
50,258.57
6,065.77
4.57%
Preferred Stocks
Equity as a percentage of your portfolio - 22 %
Change
In Value
(16,727.60)
(7,995.00)
(172.57)
3,252.00
810.00
($20,833.17)
Current
EFTA01567578
Allocation
9%
1%
US Large Cap Equity
9%
3%
22%
Concentrated & Other Equity
US Small/Mid Cap Equity
Asset Categories
ACCT.
For the Period 3/1/14 to 3/31/14
Account Page 5 of 24
Consolidated Statement Page 8
EFTA01567579
GHISLAINE MAXWELL
ACCT.
For the Period 3/1/14 to 3/31/14
Equity Detail
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
BANK OF AMERICA CORP
CITIGROUP INC NEW
GENERAL MOTORS CO
SCHLUMBERGER LTD
SPDR S&P 500 ETF TRUST
TWITTER INC
060505-10-4 BAC
47.60
172967-42-4 C
34.42
37045V-10-0 GM
97.50
806857-10-8 SLB
187.01
78462F-10-3 SPY
46.67
90184L-10-2 TWTR
Total US Large Cap Equity
$472,353.96
$435,852.56
$36,501.40
$7,181.07
$45.20
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
1.52%
2,000.000
93,340.00
90,320.00
3,020.00
1,495.000
279,579.95
250,407.85
29,172.10
113.000
11,017.50
9,524.04
1,493.46
180.80
45.20
5,205.59
1.64%
EFTA01567580
1.86%
1,373.000
47,258.66
50,000.00
(2,741.34)
1,647.60
3.49%
358.000
17,040.80
14,048.52
2,992.28
14.32
0.08%
17.20
944.000
16,236.80
10,148.85
6,087.95
37.76
0.23%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
82.95
95.000
7,880.25
11,403.30
(3,523.05)
95.00
1.21%
2.09
3,000.000
6,270.00
18,129.32
(11,859.32)
Account Page 6 of 24
Consolidated Statement Page 9
EFTA01567581
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Price
Non-US Equity
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 BP
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
25.64
2,500.000
64,100.00
$448,600.00
62,500.00
$422,578.96
1,600.00
$26,021.04
4,187.50
1,046.88
$31,227.50
$1,046.88
Concentrated & Other Equity
JPMORGAN CHASE & CO
VAR RT PFD STK 04/30/2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
6.53%
6.96%
25.50
4,200.000
107,100.00
98,778.96
8,321.04
7,350.00
6.86%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01567582
Accrued Div.
Yield
55.64
0.00
3.29
27.74
10,000.000
277,400.00
261,300.00
16,100.00
19,690.00
7.10%
112.05
150,000.000
168,076.50
157,909.17
10,167.33
11,850.00
4,970.40
6.98%
Account Page 7 of 24
Consolidated Statement Page 10
EFTA01567583
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
63,067.77
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JE0081VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$61,213.24
$76,999.78
123.61
190.000
23,485.90
31,931.40
125.34
301.000
37,727.34
45,068.38
Quantity
Estimated
Value
Cost
Est. Annual Income
Accrued Income
Ending
Estimated Value
61,213.24
Change
In Value
(1,854.53)
Current
Allocation
1%
Account Page 8 of 24
Consolidated Statement Page 11
EFTA01567584
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
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
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
10+ years'
Total Value
1
Market Value
2,803,563.05
315,330.62
633,584.40
167,977.00
$3,920,455.07
Ending
Market Value
3,117,591.55
440,072.62
526,695.00
0.00
$4,084,359.17
Current
Period Value
4,084,359.17
4,064,233.02
20,126.15
18,537.55
5,832.95
0.32%
SUMMARY BY TYPE
Market
Value
3,557,664.17
310,420.50
EFTA01567585
216,274.50
$4,084,359.17
% 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.
Account Page 9 of 24
Consolidated Statement Page 12
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
Total Value
Market
Value
3,117,591.55
440,072.62
310,420.50
216,274.50
$4,084,359.17
% of Bond
Portfolio
78%
10%
7%
5%
100%
Change
In Value
314,028.50
124,742.00
(106,889.40)
(167,977.00)
$163,904.10
Current
Allocation
59%
8%
10%
77%
Non-USD Cash
Cash
US Fixed Income
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 77 %
EFTA01567586
EFTA01567587
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Note:
A - Bonds purchased at a premium show amortization.
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
3,117,590.55
1.00
3,117,590.55
1.00
$3,117,591.55
3,117,590.55
1.00
$3,117,591.55
$0.00
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Non-USD Cash
POUND STERLING
1.67
US Fixed Income
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
100.19
50,000.00
50,095.00
45,394.50
4,700.50
EFTA01567588
237.55
32.30
0.39%
263,967.18
440,072.62
440,937.87
(865.25)
102.53
100,000.00
102,527.00
100,000.00
2,527.00
2,900.00
1,337.20
1.24%
Account Page 10 of 24
Consolidated Statement Page 13
EFTA01567589
GHISLAINE MAXWELL
ACCT.
For the Period 3/1/14 to 3/31/14
Price
US Fixed Income
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
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
$526,695.00
$505,703.60
$515,361.50
$20,991.40
$18,537.55
$5,832.95
2.49%
105.05
50,000.00
52,526.00
51,478.33
54,040.00
1,047.67
2,500.00
527.75
4.59%
108.95
100,000.00
108,946.00
105,944.52
110,503.00
3,001.48
EFTA01567590
5,000.00
638.80
4.19%
109.61
50,000.00
54,802.50
52,886.25
55,424.00
1,916.25
2,500.00
1,256.90
4.02%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
105.20
150,000.00
157,798.50
150,000.00
7,798.50
5,400.00
2,040.00
1.57%
Account Page 11 of 24
Consolidated Statement Page 14
EFTA01567591
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
167,376.76
Ending
Estimated Value
0.00
Change
In Value
(167,376.76)
Current
Allocation
Account Page 12 of 24
Consolidated Statement Page 15
EFTA01567592
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
313,742.55
$314,207.40
(178.90)
($178.90)
$3,117,590.55
Period Value
2,803,562.05
464.85
Year-To-Date
Value*
-13,646.52
430.00
313,742.55
$327,819.07
(178.90)
($178.90)
-$0.00
$0.00
INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
$0.00
-Current
Cost
Adjustments
Amortization
Total Cost Adjustments
Period Value
$0.00
EFTA01567593
Year-To-Date
Value*
(1,557.34)
($1,557.34)
* 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 osition
Account Page 13 of 24
Consolidated Statement Page 16
EFTA01567594
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
3/3
3/3
3/6
3/7
3/28
3/28
3/31
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR 02/01/14 - 02/28/14
@ .01% RATE ON AVG COLLECTED BALANCE OF
$2,801,522.86 AS OF 03/01/14
Misc Disbursement PHONE INSTRUCTIONS FROM CLIENT FROM
TO 0002916490721
Spot FX
Spot FX
Div Domest
Div Domest
Interest Income
Total Inflows & Outflows
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
CAD EXCHANGE RATE 1.106000000 DEAL 03/05/14
VALUE 03/06/14 (ID: OCADPR-AA-6)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
NOK EXCHANGE RATE 5.992200000 DEAL 03/05/14
VALUE 03/07/14 (ID: ONOKPR-AA-1)
BANK OF AMERICA CORP @ 0.01 PER SHARE
(ID: 060505-10-4)
GENERAL MOTORS CO @ 0.30 PER SHARE
(ID: 37045V-10-0)
INTEREST FOR 03/01/14 THRU 03/28/14 @ 0.010% ON
NET AVERAGE COLLECTED BALANCE OF 3,051,342.55
944.000
1,373.000
0.01
0.30
0.01
9.44
411.90
22.23
$314,028.50
(1,248,562.590 )
(210,728.51)
208,364.64
(116,547.970)
EFTA01567595
(114,124.85)
(178.90)
105,377.91
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
21.28
INCOME
Amount
Account Page 14 of 24
Consolidated Statement Page 17
EFTA01567596
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
Ending Cash Balance
-(105,377.91)
($105,377.91)
Period
Value
Beginning Cash Balance
-Year-To-Date
Value*
-111.65
$0.00
$111.65
(98.97)
(105,377.91)
($105,476.88)
114,112.17
$114,112.17
-(116,547.97)
(116,547.97)
0.00
Local
Value
Current
Period Value
116,547.97
Year-To-Date
Value*
-122.38
122.38
(108.33)
(116,547.97)
(116,656.30)
0.00
0.00
EFTA01567597
116,533.92
116,533.92
-Account
Page 15 of 24
Consolidated Statement Page 18
EFTA01567598
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - Canadian Dollar
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
Year-To-Date
Value*
--Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
Year-To-Date
Value*
743,911.40
(743,812.43)
* 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 osition
Account Page 16 of 24
Consolidated Statement Page 19
EFTA01567599
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
3/6
Spot FX
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
CAD EXCHANGE RATE 1.106000000 DEAL 03/05/14
VALUE 03/06/14 (ID: OCADPR-AA-6)
Quantity
105,377.910
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(105,377.91)
(116,547.97)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
(8,746.94)
Account Page 17 of 24
Consolidated Statement Page 20
EFTA01567600
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
Ending Cash Balance
-(208,364.64)
($208,364.64)
Period
Value
Beginning Cash Balance
-Year-To-Date
Value*
-303.62
$0.00
$303.62
(269.61)
(208,364.64)
($208,634.25)
210,694.50
$210,694.50
-(1,248,562.59)
(1,248,562.59)
0.00
Local
Value
Current
Period Value
1,248,562.59
Year-To-Date
Value*
-1,864.33
1,864.33
(1,658.00)
(1,248,562.59)
(1,250,220.59)
0.00
0.00
EFTA01567601
1,248,356.26
1,248,356.26
-Account
Page 18 of 24
Consolidated Statement Page 21
EFTA01567602
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - Norwegian Krone
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
Year-To-Date
Value*
--Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
Year-To-Date
Value*
1,420,894.46
(1,420,624.84)
* 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 osition
Account Page 19 of 24
Consolidated Statement Page 22
EFTA01567603
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
3/7
Spot FX
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
NOK EXCHANGE RATE 5.992200000 DEAL 03/05/14
VALUE 03/07/14 (ID: ONOKPR-AA-1)
Quantity
208,364.640
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(208,364.64)
(1,248,562.59)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
(2,363.87)
Account Page 20 of 24
Consolidated Statement Page 23
EFTA01567604
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
Period Value
-198.73
$198.73
439,129.30
$439,129.30
-Year-To-Date
Value*
-892.75
$892.75
439,129.30
$439,129.30
-Local
Value
Current
Period Value
976.73
119.91
119.91
262,870.54
262,870.54
263,967.18
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
EFTA01567605
Year-To-Date
Value*
--Year-To-Date
Value*
-541.31
541.31
262,870.54
262,870.54
-Account
Page 21 of 24
Consolidated Statement Page 24
EFTA01567606
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
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
3/19
Foreign Dividend
Description
ISHARES GBP CORPORATE BOND UCITS ETF ISIN
IE00B00FV011 SEDOL BOOFV01 @ 1.142 PER SHARE
(ID: 461278-91-3)
Quantity
105.000
Amount USD
Local Value
1.893
1.142
PRINCIPAL
Amount USD
Local Value
198.73
119.91
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Account Page 22 of 24
Consolidated Statement Page 25
EFTA01567607
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
TRADE ACTIVITY - Pound Sterling
L indicates Long Term Realized Gain/Loss
Note:
S indicates Short Term Realized Gain/Loss
** Realized Gain/Loss and tax cost are shown as "N/A" in cases where we do
not have appropriate cost information for all tax lots comprising the sale.
Please contact your J.P. Morgan team for
additional information.
Per Unit
Trade Date
Settle Date
3/6
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
3/10
3/6
3/11
3/6
3/11
3/6
3/11
3/7
3/12
3/7
3/12
3/18
3/21
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL
INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843
SEDOL B3BMD84 CLIENT REF 92TN37002199.S
(ID: 695421-91-7)
ISHARES GBP INDEX-LINKED GILTS UCITS ETF ISIN
IE00B1FZSD53 SEDOL B1G52V0 (ID: 46578W-92-2)
ISHARES GBP CORPORATE BOND UCITS ETF ISIN
EFTA01567608
IE00B00FV011 SEDOL BOOFV01 (ID: 461278-91-3)
RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875
CLIENT REF .S (ID: 766994-90-9)
3PM MANAGED RESERVES FD - GBP-C-DIST ISIN
LU0539309053 @ 6388.40 OFFSHORE
(ID: 051398-91-5)
3PM INC OPP FD - GBP - A - DIST(HDG) ISIN
LU0323456201 @ 91.54 OFFSHORE (ID: 287991-93-9)
BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN
LU0222772518 CLIENT REF .S
(ID: G13289-92-4)
Total Settled Sales/Maturities/Redemptions (USD)
(450.272)
(187.898)
153.064
91.54
218.29
131.71
68,920.45
41,217.90
41,016.18
24,748.05
$439,129.30
N/A **
(39,293.00)
(24,284.17)
($348,187.12)
N/A
1,723.18 L
$21,985.40 L
$36.33 S
(5,790.000)
(105.000)
(3.000)
(7.737)
21.811
13.06
211.148
126.43
55.083
32.955
10,682.043
6,388.40
126,286.97
75,541.78
22,170.53
13,261.87
165.25
98.77
82,646.97
49,427.05
EFTA01567609
(118,212.32)
(72,987.59)
(19,023.08)
(12,117.00)
(212.23)
(130.10)
(81,082.31)
(50,299.81)
8,074.65 L
3,147.45 L
(46.98) L
1,528.33 L
36.33 S
Quantity
(4,361.513)
Amount USD
Local Value
22.452
13.43
Proceeds USD
Local Value
97,922.95
58,575.12
Tax Cost USD
Realized
Local Value Gain/Loss USD
(90,364.18)
(55,750.02)
7,558.77 L
Account Page 23 of 24
Consolidated Statement Page 26
EFTA01567610
GHISLAINE MAXWELL ACCT.
For the Period 3/1/14 to 3/31/14
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
CANADIAN DOLLAR
U S DOLLAR
NORWEGIAN KRONE
U S DOLLAR
Mar. 5 14
Mar. 6 14
Mar. 5 14
Mar. 7 14
CAD
USD
NOK
USD
(116,547.97)
105,377.91
(1,248,562.59)
208,364.64
1.106000
5.992200
1.021232
5.924982
105,377.91
208,364.64
(114,124.85)
(210,728.51)
(8,746.94)
(2,363.87)
Amount
Counter Amount Contract Rate Revaluation Rate
Contracted Base
Amount USD
Revalued
Amount USD
Currency G/L
Account Page 24 of 24
Consolidated Statement Page 27
EFTA01567611
J.P. Morgan Securities LLC
GHISLAINE MAXWELL
383 Madison Avenue, New York, NY 10179
ACCT.
For the Period 3/1/14 to 3/31/14
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,
No market value or activity to report during this period
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Account Page 1 of 1
Consolidated Statement Page 28
EFTA01567612
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567613
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - OAP IHD
, New York, NY 10017-2014
ACCT.
For the Period 3/1/14 to 3/31/14
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
3
4
Account Page 1 of 7
Consolidated Statement Page 29
EFTA01567614
GHISLAINE MAXWELL - OAP IHD
Account Summary
Asset Allocation
Equity
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
137,528.10
$137,528.10
12,566.34
$150,094.44
Ending
Market Value
0.00
$0.00
1,937.95
$1,937.95
Change
In Value
(137,528.10)
($137,528.10)
(10,628.39)
($148,156.49)
Estimated
$0.00
Current
Annual Income Allocation
ACCT.
For the Period 3/1/14 to 3/31/14
Current
Portfolio Activity
Beginning Market Value
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
Tax Summary
Foreign Dividends
Interest Income
Taxable Income
Period Value
137,528.10
(27,808.73)
(116,979.42)
EFTA01567615
($144,788.15)
11,036.97
(3,776.92)
$0.00
1,937.95
$1,937.95
Current
Period Value
11,036.97
$11,036.97
Year-to-Date
Value
1,964,165.75
(90,060.72)
42,152.23
(1,939,755.05)
($1,987,663.54)
41,504.64
(18,006.85)
$0.00
1,937.95
$1,937.95
Year-to-Date
Value
41,500.67
3.97
$41,504.64
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
4.47
$4.47
Year-to-Date
Value
9,772.82
1,562.35
$11,335.17
Account Page 2 of 7
Consolidated Statement Page 30
EFTA01567616
GHISLAINE MAXWELL - OAP IHD
Equity Summary
Asset Categories
EAFE Equity
Equity Detail
Price
EAFE Equity
GLAXOSMITHKLINE PLC
SPONS ADR
37733W-10-5 GSK
KIRIN HOLDINGS COMPANY LTD
SPONS ADR
497350-30-6 KNBW
RECKITT BENCKISER GROUP PLC
SPONSORED ADR
756255-20-4 RBGL
Total EAFE Equity
16.48
$0.00
0.00
776.95
$0.00
$0.00
$0.00
$1,937.95
0.00%
2.57%
13.85
0.00
476.23
2.00%
53.43
0.00
684.77
4.62%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Beginning
Market Value
137,528.10
Ending
Market Value
0.00
Change
EFTA01567617
In Value
(137,528.10)
Current
Allocation
ACCT.
For the Period 3/1/14 to 3/31/14
Account Page 3 of 7
Consolidated Statement Page 31
EFTA01567618
GHISLAINE MAXWELL - OAP IHD
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
OUTFLOWS **
Withdrawals
Fees & Commissions
Tax Payments
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
4.47
$4.47
$0.00
* 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
97,192.23
(103,712.32)
($6,520.09)
-ACCT.
For the Period 3/1/14 to 3/31/14
Current
Period Value
16,767.29
11,036.97
$11,036.97
(27,719.39)
(89.34)
($27,808.73)
Year-To-Date
Value*
-41,504.64
$41,504.64
(80,391.44)
(8,781.61)
(887.67)
($90,060.72)
Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
EFTA01567619
Period Value
(116,979.42)
Year-To-Date
Value*
42,152.23
(1,939,755.05)
Account Page 4 of 7
Consolidated Statement Page 32
EFTA01567620
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
3/4
3/10
3/12
3/12
3/17
3/20
3/24
3/27
3/31
Foreign Dividend
Misc Disbursement
Foreign Dividend
FGN Tax Withheld
Misc Disbursement
Expenses
Foreign Dividend
Foreign Dividend
Misc Disbursement
Total Inflows & Outflows
Description
VODAFONE GROUP PLC SPONS ADR @ 4.928005 PER
SHARE (ID: 92857W-20-9)
TRANSFER TO UBS FINANCIAL SERVICES INC.
UNILEVER N V @ 0.365412 PER SHARE
(ID: 904784-70-9)
UNILEVER N V TAX WITHHELD NETHERLANDS 15.00%
(ID: 904784-70-9)
TRANSFER TO UBS FINANCIAL SERVICES INC.
DEUTSCHE POST AG SPONS ADR ADR FEE TO HOLDERS
OF RECORD DATE 12/06/13 AS OF 03/13/14
(ID: 25157Y-20-2)
ASTRAZENECA PLC SPONS ADR @ 1.90 PER SHARE
(ID: 046353-10-8)
ROYAL DUTCH SHELL PLC ADR @ 0.90 PER SHARE
(ID: 780259-10-7)
TRANSFER TO UBS FINANCIAL SERVICES INC.
365.000
400.000
1.90
0.90
693.50
360.00
(1,033.35)
($16,771.76)
2,015.000
EFTA01567621
1,630.000
(89.34)
(507.08)
(20.15)
Quantity
Cost
1,905.000
Per Unit
Amount
4.928
Amount
9,387.85
1,630.000
0.365
(26,158.81)
595.62
Account Page 5 of 7
Consolidated Statement Page 33
EFTA01567622
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 3/1/14 to 3/31/14
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred Out
3/10
Free Delivery
3/10
3/10
Free Delivery
Free Delivery
Total Securities Transferred Out
Description
VERIZON COMMUNICATIONS INC TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92343V-10-4)
ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 771195-10-4)
VODAFONE GROUP PLC-SP ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/07/14
(ID: 92857W-30-8)
($116,979.42)
(1,039.000)
53,061.37
(41,487.27)
(1,400.000)
39,379.81
(51,870.00)
* 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
(501.000)
23,477.65
Transaction
Market Value *
(23,622.15)
Account Page 6 of 7
Consolidated Statement Page 34
EFTA01567623
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 3/1/14 to 3/31/14
TRADE ACTIVITY
Note:
Trade Date
Settle Date
3/6
3/6
L indicates Long Term Realized Gain/Loss
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Cash In Lieu
3/12
3/12
Cash In Lieu
VODAFONE GROUP PLC-SP ADR CASH IN LIEU OF
FRACTIONAL SHARES (ID: 92857W-30-8)
VERIZON COMMUNICATIONS INC CASH IN LIEU OF
FRACTIONAL SHARES. (ID: 92343V-10-4)
Total Settled Sales/Maturities/Redemptions
Quantity
0.090
Per Unit
Amount
40.778
Proceeds
3.67
0.80
$4.47
$0.00
Tax Cost
Realized
Gain/Loss
3.67 L
0.80 L
$4.47 L
Account Page 7 of 7
Consolidated Statement Page 35
EFTA01567624
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567625
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - TAP DYS
, New York, NY 10017-2014
ACCT.
For the Period 3/1/14 to 3/31/14
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
Portfolio Activity
3
Account Page 1 of 4
Consolidated Statement Page 36
EFTA01567626
GHISLAINE MAXWELL - TAP DYS
Account Summary
Asset Allocation
Equity
Cash & Fixed Income
Market Value
Beginning
Market Value
52,071.98
74,372.70
$126,444.68
Ending
Market Value
0.00
0.00
$0.00
Change
In Value
(52,071.98)
(74,372.70)
($126,444.68)
$0.00
Estimated
Current
Annual Income Allocation
ACCT.
For the Period 3/1/14 to 3/31/14
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Tax Summary
Domestic Dividends/Distributions
Interest Income
Taxable Income
Period Value
126,444.68
(19,039.42)
(107,848.37)
($126,887.79)
171.60
271.51
$0.00
Current
Period Value
171.60
EFTA01567627
$171.60
Year-to-Date
Value
1,036,257.60
(71,590.96)
(982,290.70)
($1,053,881.66)
5,012.30
12,611.76
$0.00
Year-to-Date
Value
5,009.12
3.18
$5,012.30
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
400.50
(43.12)
$357.38
Account Page 2 of 4
Consolidated Statement Page 37
EFTA01567628
GHISLAINE MAXWELL - TAP DYS
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
OUTFLOWS **
Withdrawals
Fees & Commissions
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$0.00
* 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
67,002.55
(37,417.00)
$29,585.55
-ACCT.
For the Period 3/1/14 to 3/31/14
Current
Period Value
18,867.82
171.60
$171.60
(19,039.42)
($19,039.42)
Year-To-Date
Value*
-5,012.30
$5,012.30
Current
(68,585.53)
(3,005.43)
($71,590.96)
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
EFTA01567629
(216.01)
($216.01)
Current
Securities Transferred In/Out
Securities Transferred Out
Period Value
(107,848.37)
Year-To-Date
Value*
(982,290.70)
Account Page 3 of 4
Consolidated Statement Page 38
EFTA01567630
GHISLAINE MAXWELL - TAP DYS
ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
3/4
3/10
Div Domest
Misc Disbursement
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred Out
3/13
Free Delivery
3/13
Free Delivery
Total Securities Transferred Out
Description
TRP INST FLOATING RATE-F TRANSFER TO UBS
FINANCIAL SERVICES INC TRADE DATE 03/13/14
(ID: 77958B-10-5)
SIT DIVIDEND GROWTH FUND-I TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 03/13/14
(ID: 82980D-70-7)
($107,848.37)
(2,958.635)
46,294.00
(52,397.43)
Description
TRP INST FLOATING RATE-F 02/28/14 INCOME
DIVIDEND @ 0.032 PER SHARE AS OF 02/28/14
(ID: 77958B-10-5)
TRANSFER TO UBS FINANCIAL SERVICES INC.
(19,039.42)
($18,867.82)
Quantity
Cost
5,394.060
Per Unit
Amount
0.032
Amount
171.60
* 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.
EFTA01567631
Type
Quantity
Cost
(5,394.060)
55,397.00
Transaction
Market Value *
(55,450.94)
Account Page 4 of 4
Consolidated Statement Page 39
EFTA01567632
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - TAP ARFI
, New York, NY 10017-2014
ACCT.
For the Period 3/1/14 to 3/31/14
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
Portfolio Activity
3
Account Page 1 of 4
Consolidated Statement Page 40
EFTA01567633
GHISLAINE MAXWELL - TAP ARFI
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Beginning
Market Value
19,270.99
$19,270.99
Ending
Market Value
0.00
$0.00
Change
In Value
(19,270.99)
($19,270.99)
Estimated
$0.00
Current
Annual Income Allocation
ACCT.
For the Period 3/1/14 to 3/31/14
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Tax Summary
Domestic Dividends/Distributions
Interest Income
Taxable Income
($19,270.99)
$0.00
Current
Period Value
Period Value
19,270.99
(19,270.99)
Year-to-Date
Value
1,002,786.16
(51,730.48)
(961,089.67)
($1,012,820.15)
4,118.67
5,915.32
EFTA01567634
$0.00
Year-to-Date
Value
4,115.19
3.48
$4,118.67
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(1,968.26)
($1,968.26)
Account Page 2 of 4
Consolidated Statement Page 41
EFTA01567635
GHISLAINE MAXWELL - TAP ARFI
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
$0.00
OUTFLOWS **
Withdrawals
Fees & Commissions
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
$0.00
$0.00
* 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
76,002.00
(76,281.00)
($279.00)
-(19,270.99)
($19,270.99)
ACCT.
For the Period 3/1/14 to 3/31/14
Current
Period Value
19,270.99
Year-To-Date
Value*
-4,118.67
$4,118.67
Current
(49,806.24)
(1,924.24)
($51,730.48)
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
$0.00
Year-To-Date
Value*
(103.47)
EFTA01567636
($103.47)
Current
Securities Transferred In/Out
Securities Transferred Out
Period Value
Year-To-Date
Value*
(961,089.67)
Account Page 3 of 4
Consolidated Statement Page 42
EFTA01567637
GHISLAINE MAXWELL - TAP ARFI
ACCT.
For the Period 3/1/14 to 3/31/14
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
3/10
Misc Disbursement
Description
TRANSFER TO UBS FINANCIAL SERVICES INC.
Quantity
Cost
Per Unit
Amount
Amount
(19,270.99)
Account Page 4 of 4
Consolidated Statement Page 43
EFTA01567638
For the Period 3/1/14 to 3/31/14
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.
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. When J.P. Morgan is unable to obtain a price from an
internal or outside source for a particular ARS, the price
column on your statement will indicate "unpriced".
Valuations of over-the-counter derivative transactions, including certain
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.
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
EFTA01567639
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.
In cases where we are unable to obtain a current market value from an
internal or outside source for a particular security, the price column on
your statement will indicate "unpriced". Although such
securities may have value, please note that the value of a security
indicated as "unpriced" will not be included in your overall current market
value as reflected on the statement.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
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.
When we are unable to obtain a current value from an internal or outside
source for
ℹ️ Document Details
SHA-256
5b4f2b25cfd0ca4b658fc4f4672757defd9283e886ff0a0cb309f87571882e35
Bates Number
EFTA01567563
Dataset
DataSet-10
Document Type
document
Pages
86
Comments 0