📄 Extracted Text (2,546 words)
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Confidential
Page 1 of 12
Asset Account Portfolio
November 1 - November 30, 2001
Table of Contents
Portfolio Summary
Cash and Short Term
Equities
Other
Private Investments
Trade Activity
Account Transactions
Account Officers
Service Specialist: RILEY
Page
2
3
5
6
7
9
10
000000.0000.00.0000.000.000000000.000000
FINANCIAL TRUST COMPANY, INC.
C/O AMERICAN YACHT HARBOR
6100 RED HOOK, QUARTERS #2
ST THOMAS 00802
US VIRGIN ISLDS
EFTA01557433
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 2 of 12
Overview
Portfolio Summary
Market Value USD
Nov 30
Cash & Short Term
Equities
Other
Total
Accrued Income
Total Portfolio Value
Private Investments *
Asset Allocation
61% Cash and Short Term
8% Equities
18% Other
13% Private
Investments*
4,477,111.25
587,500.00
1,280,740.15
6,345,351.40
8,483.35
6,353,834.75
933,747.00
Income Summary
Dividends
Total
Net Gain/Loss Summary
Net Short Term Gain/Loss
Total
**Year to date information is calculated on a calendar year basis.
Market Value USD
Oct 31
4,516,752.69
537,500.00
1,280,740.15
6,334,992.84
10,358.56
6,345,351.40
985,035.00
This Period USD
10,358.56
10,358.56
Year to Date USD*
333,593.34
333,593.34
Tax
Cost USD
4,477,111.25
463,250.00
4,940,361.25
Estimated Annual
Income USD
98,102.63
EFTA01557434
4,000.00
102,102.63
Yield
45
2.2
0.7
0.0
1.6
Realized This Period USD Realized Year to Date USD**
Unrealized USD
124,250.00
124,250.00
*Value is an estimated figure given the illiquid nature of Private Investments
(see Private Investment information at end of section summary).
EFTA01557435
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 3 of 12
Cash and Short Term
Summary by Maturity
Current Market Value
USD
Cash
Less Than 3 Months
Total
2,244,664.18
2,232,447.07
4,477,111.25
Estimated Annual Income
USD
46,756.35
51,346.28
98,102.63
Current yield is displayed for instruments with no maturity and YTM on market is
displayed for instruments that mature.
Cash and Short Term by Type
Description
Unit Cost
Adjusted
Cusip/S&P/Moody's Rating
Currency
Quantity
Original
Market
Price
Tax Cost
Adjusted
Original
Current
Market Value USD
Accrued Interest USD
Unrealized
Gain/Loss USD
Estimated Current
Annual
Yield/
Income USD YTM
Cash
JP MORGAN PRIME MONEY MARKET PREMIER
CLASS SWEEP FUND (350)
SWEEP DEADLINE IS 4:30 PM EST
7-Day Annualized Yield: 2.09%
Short Term by Maturity
J P MORGAN PRIME MONEY MARKET FUND
INSTITUTIONAL SHARES CLASS
(FUND 829)
7-Day Annualized Yield: 2.33%
USD
2,232,447.07
1.00
1.00
EFTA01557436
2,232,447.07
2,232,447.07
4,435.47
51,346.28
2.30
USD
2,244,664.18
1.00
1.00
2,244,664.18
2,244,664.18
4,047.88
46,756.35
2.08
EFTA01557437
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 4 of 12
Cash and Short Term by Type
Description
Cusip/S&P/Moody's Rating
Total Cash and Short Term
continued
Unit Cost
Adjusted
Currency
Quantity
Original
Market
Price
Tax Cost
Adjusted
Original
Current
Market Value USD
Accrued Interest USD
Unrealized
Gain/Loss USD
Estimated Current
Annual
Yield/
Income USD YTM %
4,477,111.25
4,477,111.25
8,483.35
0.00
98,102.63 2.19
EFTA01557438
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 5 of 12
Equities
Equity Holdings in Alphabetical Order
Description
Cusip/Symbol
Currency
Quantity
Unit
Cost
Current Market
Price
Tax Cost
Current Market
Value USD
USD Accrued Dividends USD
Estimated
Unrealized
Gain/Loss USD
Annual Dividend
Income USD Yield %
IMC GLOBAL INC
449669-10-0 IGL
USD
Total Equity
50,000
50,000
9.27
11.75
463,250.00
463,250.00
587,500.00
587,500.00
124,250.00
124,250.00
4,000.00
4,000.00
0.7
0.7
EFTA01557439
11
Other
Swaps in Alphabetical Order
Description
BEAR STEARNS CORP TOTAL RETURN SWAP
QUARTERLY LIBOR RESET
10/4/03 MGT NY
SWPEQA-BY-7
N/O Client
Total Other
Trade Date
Maturity Date
Estimated
Value USD
1,280,740.15
JPMorgan Chase Bank
2001
Account Number: I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 6 of 12
1,280,740.15
EFTA01557440
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 7 of 12
Private
Private Investments Summary
Investments *
LPs, LLCs, and Other
Total
Estimated
Current Value USD
933,747.00
933,747.00
Private Investment Holdings in Alphabetical Order
Units/
Commitment USD
Description
LPs,LLCs, and Other
NESTOR 2000 SPECIAL LLC
(COMMITMENT EXPRESSED IN EUROS)
* The 'Capital Called Since Inception USD' and 'Cash/Security Distributions Sinc
e Inception USD' columns are updated monthly to reflect any interim capital call
s and distributions. The 'Estimated Value USD' column reflects information recei
ved by JPMCB
from the general partner or manager which, in most cases, is quarterly, plus any
interim capital calls and less any distributions made to date since the last va
luation received from such source by JPMCB.
Generally, distributions of securities in kind are valued at the fair market val
ue of the securities on the date of the distribution
* See: Important Information About Private Investment Valuations
Important Information About Private Investment Valuations
Direct equity investments and limited partnership and limited liability company
units are generally illiquid securities, and prices are not guaranteed for accur
acy or as realizable values.
Direct equity investments are valued at cost, unless there is an active secondar
y trading market in the securities, in which case, direct equity investments are
valued using market prices as of the close of the last business day for
this statement period. Limited partnership and limited liability company units a
re valued at cost only if "valued at cost" is stated within the security descrip
tion. Otherwise, all such units are valued according to the general partner's or
manager's
stated methodology. These methodologies generally include an appraisal of the un
derlying assets at the lower of cost or a written-down amount, at a value at whi
ch third party financing has occurred, at a market price if an active secondary
market
develops, or at a value endorsed by an independent party. Please refer to the li
mited partnership or limited liability company documentation for each security f
or the specific valuation methodology used by the general partner or manager for
that security.
JPMCB expressly disclaims any responsibility for (1) the accuracy of the informa
tion and the methodology used by the issuer, general partner or manager used in
deriving the valuations, (2) any errors or omissions in compiling or disseminati
ng the
valuations, and (3) any use to which the valuations are put. Valuations are prov
ided for information purposes only and are intended solely for your own use.
This statement does not provide tax reporting on the limited partnership and lim
ited liability units. Please continue to rely upon the general partner or genera
EFTA01557441
1 manager of the entity for this information.
USD
3,000,000.00
1,106,346.00
0.00
933,747.00
Currency
Net of Origination Fee
Capital Called
Since Inception USD
Cash/Security
Distributions
Since Inception USD
Estimated
Value USD
EFTA01557442
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 8 of 12
Important Information about Pricing and Valuations
Prices, some of which are provided by pricing services or other sources which we
deem reliable, are not guaranteed for accuracy or as realizable values.
Valuations of over-the-counter derivative transactions, including certain deriva
tives-related deposit products, have been prepared on a mid-market basis. These
valuations are indicative values as of the close of business of the date of this
statement
and, except as otherwise agreed in writing, these valuations do not represent th
e actual terms at which transactions or securities could be bought or sold or ne
w transactions could be entered into, or the actual terms on which existing tran
sactions or
securities could be liquidated as of the date of this statement. We do not warra
nt their completeness or accuracy. These valuations are derived from proprietary
models based upon well recognized financial principles and we have, when necess
ary to
calculate the present value of future cash flows, made reasonable estimates abou
t relevant future market conditions. Valuations based on other models or differe
nt assumptions may yield different results. Morgan expressly disclaims any respo
nsibility
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 informa
tion
purposes only and are intended solely for your own use. Please refer to the trad
e confirmation for details of each transaction.
EFTA01557443
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 9 of 12
Trade Activity
Realized Gain/Loss Summary
Short Term Gain/Loss
Long Term Gain/Loss
Note: indicates Short Term Realized Gain/Loss
indicates Long Term Realized Gain/Loss
S
L
Capital gains and losses on sales with missing or incomplete tax cost are identi
fied with N/A.
Trade Activity by Type
Settlement
Date
Trade
Date
Settled
Oct 31 Nov 1 Purchase
J P MORGAN PRIME MONEY MARKET FUND
INSTITUTIONAL SHARES CLASS
(FUND 829)
USD
5,322.66
1.00
- 5,322.66
Type
Amount USD
0.00
0.00
Realized
Description
Currency
Quantity
Price/Unit Market Cost/Proceeds
Tax Cost
Gain/Loss USD
EFTA01557444
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 10 of 12
Account Transactions
Cash Activity Summary
Amount this
Period USD
Beginning Balance
Credits
Dividends
Sweep Account Sales
Sales, Maturities, Redemptions
Miscellaneous Receipts
Debits
Sweep Account Purchases
Purchases of Securities
Miscellaneous Disbursements
Foreign Exchange
Ending Balance
*Year to date information is calculated on a calendar year basis.
— 50,035.90
- 5,322.66
- 50,000.00
.00
- 35,796,776.16
- 17,771,110.21
- 41,566,000.00
- 440,436.00
45,000.00
10,358.56
50,000.00
333,593.34
33,552,111.98
38,784,563.20
22,904,053.85
Amount Year
to Date USD*
Activity by Date
Type
Settlement
Date
Nov 1
Nov 1
Dividend
Dividend
Quantity Description
JP MORGAN PRIME MONEY MARKET PREMIER
CLASS SWEEP FUND (350)
SWEEP DEADLINE IS 4:30 PM EST
J P MORGAN PRIME MONEY MARKET FUND
INSTITUTIONAL SHARES CLASS
(FUND 829)
Amount USD
5,035.90
5,322.66
EFTA01557445
11
Settlement
Date
Nov 1
JPMorgan Chase Bank
2001
Account Number: •
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 11 of 12
Activity by Date
Type
continued
Quantity Description
Purchase
5,322.66
J P MORGAN PRIME MONEY MARKET FUND
INSTITUTIONAL SHARES CLASS
(FUND 829)
INCOME DIVIDEND
REINVESTED @ $1.00
J.P.MORGAN SECURITIES INC AS AGENT
TRADE DATE 10/31/01
Nov 1
Purchase
Nov 13 Sale
Nov 13 Misc Disbursement
50,035.90
- 32,000
JP MORGAN PRIME MONEY MARKET PREMIER
CLASS SWEEP FUND (350)
SWEEP DEADLINE IS 4:30 PM EST
JP MORGAN PRIME MONEY MARKET PREMIER
CLASS SWEEP FUND (350)
SWEEP DEADLINE IS 4:30 PM EST
TRANSFERRED BY WIRE TO
CHASE MANHATTAN BANK/ST THOMAS
FAO FINANCIAL TRUST COMPANY, INC.
LETTER FROM CLIENT
Nov 27 Sale
Nov 27 Misc. Disbursement
- 18,000
JP MORGAN PRIME MONEY MARKET PREMIER
CLASS SWEEP FUND (350)
SWEEP DEADLINE IS 4:30 PM EST
TRANSFERRED BY WIRE TO
CHASE MANHATTAN BANK/ST THOMAS
FAO FINANCIAL TRUST COMPANY, INC.
LETTER FROM CLIENT
- 50,035.90
32,000.00
- 32,000.00
Amount USD
- 5,322.66
18,000.00
- 18,000.00
EFTA01557446
11
JPMorgan Chase Bank
2001
Account Number:
I
FINANCIAL TRUST COMPANY, INC.
345 Park Avenue, New York, NY 10154-1002
Asset Account Portfolio
November 01, 2001 - November 30, 2001
Page 12 of 12
In Case of Errors or Questions About Your Electronic Transfers.
Contact your client service specialist or write us at 500 Stanton Christiana Roa
d, 1/OPS, Newark, DE 19713-2107 as soon as you can, if you think your statement
is wrong or if you need more information about a transfer on the statement.
We must hear from you no later than 60 days after we sent you the FIRST statemen
t on which the error or problem appeared. (1) Tell us your name and account numb
er. (2) Describe the error or the transfer you are unsure about, and
explain as clearly as you can why you believe it is in error or why you need mor
e information. (3) tell us the dollar amount of the suspected error.If you conta
ct us orally, you must send us your complaint or question in writing
within 10 business days in order to preserve your rights. We will investigate yo
ur complaint and will correct any error promptly. If we take more than 10 busine
ss days to do this (20 days for purchases using your debit card or for
international transactions), we will credit your account for the amount you thin
k is in error, so that you will have the use of money during the time it takes u
s to complete our investigation.
In case of errors or questions about your statement, including your line of cred
it.
If you think that your statement is incorrect or if you need more information ab
out a transaction on your statement including a line of credit transaction, you
must write to us on a separate sheet describing the error and send it to: JPMorg
an,
Private Bank, 500 Stanton Christiana Road, 1/OPS3, Newark, DE 19713-2107. We mus
t hear from you no later than 60 days after the statement on which the error or
problem appeared is sent. You can contact your client service specialist but
doing so will not preserve your rights.
In your letter, please provide the following information: (1) your name and acco
unt number; (2) the dollar amount of the suspected error; and (3) a description
of the error and explanation, if you can, why you believe there is an error. If
you need
more information, you must describe the item you are unsure about.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American Century F
unds
J.P.Morgan Funds Distributor, Inc. is the distributor of the J.P.Morgan Funds an
d American Century Investment Services Inc. is the distributor of the American C
entury Funds. JPMorgan Investment Management Inc. and American Century Investmen
t Management serve as
investment advisors to their respectivefund families. Shares of the funds are no
t bank deposits and are not guaranteedby any bank, government entity, or the FDI
C. Return and share price will fluctuate and redemption value may be more or les
s than original cost. While the
moneymarketfunds seekto maintain a stable net asset valueof$1.00 pershare, there
is no assurancethat they will continue to do so. The estimatedannualincome and
dividendyieldfigures for mutual funds representthe funds' most recentincome divi
dendannualized.
If you have chosen one of the sweep mutual funds, you are notified that position
s in the Prime Money Market Sweep Fund represent holdings in the JPMorgan Prime
Money Market Fund; positions in the Federal Money Market Sweep Fund
represent holdings in the JPMorgan Federal Money Market Fund; and positions in t
he Tax Exempt Money Market Sweep Fund represent holdings in the JPMorgan Tax Exe
mpt Money Market Fund.
EFTA01557447
ℹ️ Document Details
SHA-256
5c37fae550b6fa8150cdc35080ba38264cb973535c69387b6ce37b49ce27b8dc
Bates Number
EFTA01557433
Dataset
DataSet-10
Document Type
document
Pages
15
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