EFTA01572658.pdf

EFTA01572658 EFTA01572659 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL- OAP FDG 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 11/1/12 to 11/30/12 Investment Management Account J.P. Morgan Team Kirsten Sichler Jason Bell Janet Young Gina Magliocco Online access Banker Investment Specialist 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 Cash & Fixed Income Portfolio Activity 4 7 9 0000002536.00.0.9E.00001.MAXWE04.20121204 Page 1 of 17 EFTA01572660 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 176,822.04 2,473.23 $179,295.27 369.05 $179,664.32 Ending Market Value 177,692.32 1,900.70 $179,593.02 804.78 $180,397.80 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals $0.00 307.23 (9.48) $179,593.02 804.78 $180,397.80 Period Value 179,295.27 Year-to-Date Value 165,408.94 (1,897.50) ($1,897.50) 4,692.20 11,389.38 $179,593.02 804.78 $180,397.80 EFTA01572661 Change In Value 870.28 (572.53) $297.75 435.73 $733.48 Estimated 5,783.57 0.26 Current Annual Income Allocation 99% 1% $5,783.83 100% Cash & Fixed Income Asset Allocation Equity Page 2 of 17 EFTA01572662 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 307.20 0.03 $307.23 Year-to-Date Value 4,691.63 0.57 $4,692.20 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (1,113.02) 1,364.98 $251.96 Year-to-Date Value 767.96 3,305.82 $4,073.78 Unrealized Gain/Loss To-Date Value $21,516.63 Cost Summary Equity Cash & Fixed Income Total 1,900.70 Cost 156,175.69 $158,076.39 Page 3 of 17 EFTA01572663 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Equity Summary Asset Categories US Large Cap Equity Beginning Market Value 176,822.04 Ending Market Value 177,692.32 Change In Value 870.28 Current Allocation 99% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Note: P indicates position adjusted for Pending Trade Activity. Equity Detail Price US Large Cap Equity ANALOG DEVICES INC 032654-10-5 ADI AUTOMATIC DATA PROCESSING INC 053015-10-3 ADP 56.75 150.000 8,511.75 7,264.05 1,247.70 261.00 3.07% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value EFTA01572664 177,692.32 156,175.69 21,516.63 5,783.57 804.78 3.25% 40.60 206.000 8,363.60 7,138.40 1,225.20 247.20 2.96% Page 4 of 17 EFTA01572665 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Price US Large Cap Equity P P BAXTER INTERNATIONAL INC BLACKROCK INC CHEVRON CORP 071813-10-9 BAX 197.04 09247X-10-1 BLK 105.69 166764-10-0 CVX CLIFFS NATURAL RESOURCES INC COLGATE PALMOLIVE CO CONOCOPHILLIPS GENERAL MILLS INC 18683K-10-1 CLF 108.50 194162-10-3 CL 56.94 20825C-10-4 COP 40.99 370334-10-4 GIS P HONEYWELL INTERNATIONAL INC ILLINOIS TOOL WORKS INC JOHNSON & JOHNSON LOCKHEED MARTIN CORP MC DONALDS CORP NEXTERA ENERGY INC 438516-10-6 HON 61.57 452308-10-9 ITW 69.73 478160-10-4 JNJ 93.30 539830-10-9 LMT 87.04 580135-10-1 MCD 68.71 65339F-10-1 NEE 137.000 9,413.27 7,254.34 2,158.93 106.000 9,226.24 9,021.44 EFTA01572666 204.80 102.000 9,516.60 7,330.98 2,185.62 126.000 8,785.98 7,863.57 922.41 307.44 76.86 469.20 117.30 326.48 75.46 328.80 82.20 3.50% 4.93% 3.54% 3.49% 138.000 8,496.66 6,498.07 1,998.59 61.33 145.000 8,892.85 7,124.46 1,768.39 237.80 59.45 209.76 2.67% 2.47% 196.000 8,034.04 7,105.54 928.50 151.000 8,597.94 7,956.76 641.18 398.64 99.66 258.72 4.64% 3.22% 89.000 9,656.50 7,413.85 EFTA01572667 2,242.65 28.75 33.000 948.75 1,273.77 (325.02) 88.000 9,300.72 8,668.32 632.40 44.000 8,669.76 8,306.90 362.86 264.00 66.00 316.80 72.90 82.50 81.25 220.72 3.05% 3.41% 8.70% 2.29% 66.27 149.000 9,874.23 7,720.85 2,153.38 268.20 2.72% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 5 of 17 EFTA01572668 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Price US Large Cap Equity PEPSICO INC 713448-10-8 PEP P PROCTER & GAMBLE CO STAPLES INC 742718-10-9 PG 11.70 855030-10-2 SPLS P THE TRAVELERS COMPANIES INC. WALGREEN CO XILINX CORP 89417E-10-9 TRV 33.91 931422-10-9 WAG 34.65 983919-10-1 XLNX Total US Large Cap Equity $177,692.32 $156,175.69 $21,516.63 $5,783.57 $804.78 3.26% 209.000 7,241.85 7,245.91 (4.06) 268.000 9,087.88 8,778.72 309.16 294.80 73.70 183.92 3.24% 2.54% 70.82 122.000 8,640.04 7,812.62 827.42 224.48 2.60% 739.000 8,646.30 EFTA01572669 8,543.03 103.27 325.16 3.76% 69.83 121.000 8,449.43 7,274.91 1,174.52 272.00 3.22% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 70.21 133.000 9,337.93 8,579.20 758.73 285.95 3.06% Page 6 of 17 EFTA01572670 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 2,473.23 Ending Market Value 1,900.70 Change In Value (572.53) Current Allocation 1% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 1,900.70 1,900.70 0.26 0.01% SUMMARY BY TYPE Market Value 1,900.70 % 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 1,900.70 % of Bond Portfolio 100% EFTA01572671 Page 7 of 17 EFTA01572672 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Note: 1 This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Cash & Fixed Income Detail Price Cash US DOLLAR COST OF PENDING PURCHASES PROCEEDS FROM PENDING SALES Total Cash 1.00 1.00 1.00 2,613.91 (3,526.94) 2,813.73 2,613.91 (3,526.94) 2,813.73 $1,900.70 2,613.91 (3,526.94) 2,813.73 $1,900.70 0.26 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield $0.00 $0.26 0.01% Page 8 of 17 EFTA01572673 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 5,759.67 (5,692.71) $66.96 $2,613.91 * 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 50,478.68 (56,003.97) ($5,525.29) -Current Period Value 2,239.72 307.23 $307.23 Year-To-Date Value* -4,692.20 $4,692.20 (1,897.50) ($1,897.50) Current Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* (157.08) ($157.08) EFTA01572674 Page 9 of 17 EFTA01572675 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 11/1 11/1 11/1 11/15 11/15 11/28 Div Domest Div Domest Interest Income Div Domest Div Domest Div Domest Total Income Description RAYTHEON CO @ 0.50 PER SHARE (ID: 755111-50-7) GENERAL MILLS INC @ 0.33 PER SHARE (ID: 370334-10-4) DEPOSIT SWEEP INTEREST FOR OCT. @ .01% RATE ON NET AVG COLLECTED BALANCE OF $3,412.49 AS OF 11/01/12 PROCTER & GAMBLE CO @ 0.562 PER SHARE (ID: 742718-10-9) COLGATE PALMOLIVE CO @ 0.62 PER SHARE (ID: 194162-10-3) XILINX CORP @ 0.22 PER SHARE (ID: 983919-10-1) 121.000 89.000 172.000 0.562 0.62 0.22 68.00 55.18 37.84 $307.23 0.03 Quantity Cost 163.000 196.000 Per Unit Amount 0.50 0.33 EFTA01572676 Amount 81.50 64.68 Page 10 of 17 EFTA01572677 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 TRADE ACTIVITY Note: Trade Date Settle Date 10/31 11/5 10/31 11/5 11/1 11/6 11/1 11/6 11/1 11/6 11/2 11/7 11/5 11/8 11/6 11/9 11/6 11/9 L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gain/Loss * Settled transaction was initiated in prior statement period and settled in current statement period Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost RAYTHEON CO @ 56.4124 112.82 BROKERAGE 0.04 TAX &/OR SEC .01 GOLDMAN SACHS & CO. EFTA01572678 (ID: 755111-50-7) RAYTHEON CO @ 56.5788 396.05 BROKERAGE 0.14 TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) RAYTHEON CO @ 57.218 400.53 BROKERAGE 0.14 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 755111-50-7) RAYTHEON CO @ 57.1771 285.89 BROKERAGE 0.15 TAX &/OR SEC .01 PERSHING & COMPANY (ID: 755111-50-7) RAYTHEON CO @ 57.305 343.83 BROKERAGE 0.12 TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) RAYTHEON CO @ 57.2669 458.14 BROKERAGE 0.16 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 755111-50-7) RAYTHEON CO @ 56.4974 621.47 BROKERAGE 0.22 TAX &/OR SEC .01 DEUTSCHE BANC ALEX BROWN INC (ID: 755111-50-7) RAYTHEON CO @ 57.546 1,093.37 BROKERAGE 0.38 TAX &/OR SEC .02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 755111-50-7) RAYTHEON CO @ 57.2012 57.20 BROKERAGE 0.02 TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) (1.000) 57.17 57.17 (41.85) 15.32 L (19.000) 57.525 1,092.97 (795.11) 297.86 L (11.000) 56.476 621.24 (460.32) 160.92 L (6.000) (8.000) 57.283 57.246 343.70 457.97 (251.09) (334.78) 92.61 L 123.19 L (5.000) 57.146 285.73 (209.24) EFTA01572679 76.49 L (7.000) (7.000) 56.557 57.197 395.90 400.38 (292.93) (292.93) 102.97 L * 107.45 L Quantity (2.000) Per Unit Amount 56.385 Proceeds 112.77 Tax Cost (83.70) Realized Gain/Loss 29.07 L * Page 11 of 17 EFTA01572680 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Settle Date 11/7 11/7 11/13 11/8 11/14 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 11/13 High Cost Sale High Cost Sale High Cost RAYTHEON CO @ 55.2723 608.00 BROKERAGE 0.22 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 755111-50-7) RAYTHEON CO @ 55.3082 331.85 BROKERAGE 0.12 TAX &/OR SEC .01 GOLDMAN SACHS & CO. (ID: 755111-50-7) RAYTHEON CO @ 55.4077 1,052.75 BROKERAGE 0.38 TAX &/OR SEC .02 CREDIT SUISSE FIRST BOSTON LLC (ID: 755111-50-7) Total Settled Sales/Maturities/Redemptions $5,759.67 ($4,262.65) $1,497.02 L (19.000) 55.387 1,052.35 (789.29) 263.06 L (6.000) 55.287 331.72 (251.09) 80.63 L Quantity (11.000) Per Unit Amount 55.252 Proceeds 607.77 Tax Cost (460.32) EFTA01572681 Realized Gain/Loss 147.45 L Trade Date Settle Date Type Description Settled Securities Purchased 10/31 Purchase 11/5 10/31 11/5 10/31 11/5 10/31 11/5 11/1 11/6 Purchase Purchase Purchase Purchase PEPSICO INC @ 69.3508 69.35 BROKERAGE 0.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 713448-10-8) STAPLES INC @ 11.507 138.08 BROKERAGE 0.24 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) XILINX CORP @ 32.7468 32.75 BROKERAGE 0.02 GOLDMAN SACHS & CO. (ID: 983919-10-1) STAPLES INC @ 11.547 34.64 BROKERAGE 0.06 S3 LEVINSON & SONS LLC (ID: 855030-10-2) STAPLES INC @ 11.5766 81.04 BROKERAGE 0.14 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 855030-10-2) Page 12 of 17 12.000 1.000 3.000 7.000 11.527 32.77 11.567 11.597 (138.32) (32.77) (34.70) (81.18) * * * EFTA01572682 Quantity 1.000 Per Unit Amount 69.37 Market Cost (69.37) * EFTA01572683 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Settle Date Type Settled Securities Purchased 11/1 Purchase 11/6 11/1 11/6 11/1 11/6 11/1 11/6 11/1 11/6 11/1 11/6 11/2 11/7 11/2 11/7 11/5 11/8 11/5 11/8 11/5 11/8 11/6 11/9 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description STAPLES INC @ 11.6577 536.25 BROKERAGE 0.92 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) STAPLES INC @ 11.5759 382.00 BROKERAGE 0.99 PERSHING & COMPANY (ID: 855030-10-2) STAPLES INC @ 11.575 11.58 BROKERAGE 0.02 LIQUIDNET INC (ID: 855030-10-2) XILINX CORP @ 33.3417 66.68 BROKERAGE 0.04 S3 LEVINSON & SONS LLC (ID: 983919-10-1) EFTA01572684 XILINX CORP @ 33.5017 33.50 BROKERAGE 0.02 GOLDMAN SACHS & CO. (ID: 983919-10-1) XILINX CORP @ 33.5132 33.51 BROKERAGE 0.02 CREDIT SUISSE FIRST BOSTON LLC (ID: 983919-10-1) STAPLES INC @ 11.5322 357.50 BROKERAGE 0.62 GOLDMAN SACHS & CO. (ID: 855030-10-2) XILINX CORP @ 33.5294 33.53 BROKERAGE 0.02 CREDIT SUISSE FIRST BOSTON LLC (ID: 983919-10-1) STAPLES INC @ 11.5694 80.99 BROKERAGE 0.14 GOLDMAN SACHS & CO. (ID: 855030-10-2) STAPLES INC @ 11.4455 354.81 BROKERAGE 0.62 DEUTSCHE BANC ALEX BROWN INC (ID: 855030-10-2) XILINX CORP @ 33.1731 33.17 BROKERAGE 0.02 DEUTSCHE BANC ALEX BROWN INC (ID: 983919-10-1) PEPSICO INC @ 69.3466 69.35 BROKERAGE 0.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 713448-10-8) Quantity 46.000 33.000 1.000 2.000 1.000 1.000 31.000 1.000 7.000 31.000 1.000 1.000 Per Unit Amount 11.678 11.606 11.60 33.36 33.52 33.53 11.552 33.55 11.59 11.465 33.19 69.37 Market Cost (537.17) (382.99) (11.60) (66.72) (33.52) (33.53) EFTA01572685 (358.12) (33.55) (81.13) (355.43) (33.19) (69.37) Page 13 of 17 EFTA01572686 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Settle Date Type Settled Securities Purchased 11/6 Purchase 11/9 11/6 11/9 11/6 11/9 11/7 11/13 11/7 11/13 11/7 11/13 11/7 11/13 11/7 11/13 11/8 11/14 11/8 11/14 11/8 11/14 11/8 11/14 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description STAPLES INC @ 11.801 601.85 BROKERAGE 1.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 855030-10-2) XILINX CORP @ 33.865 101.60 BROKERAGE 0.06 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 983919-10-1) STAPLES INC @ 11.7928 306.61 BROKERAGE 0.52 LIQUIDNET INC (ID: 855030-10-2) EFTA01572687 PEPSICO INC @ 69.1312 69.13 BROKERAGE 0.02 GOLDMAN SACHS & CO. (ID: 713448-10-8) STAPLES INC @ 11.5629 254.38 BROKERAGE 0.44 GOLDMAN SACHS & CO. (ID: 855030-10-2) XILINX CORP @ 34.0028 68.01 BROKERAGE 0.04 GOLDMAN SACHS & CO. (ID: 983919-10-1) XILINX CORP @ 33.8871 33.89 BROKERAGE 0.02 JEFFERIES & COMPANY (ID: 983919-10-1) STAPLES INC @ 11.5779 555.74 BROKERAGE 0.96 Si LEVINSON & SONS LLC (ID: 855030-10-2) STAPLES INC @ 11.648 34.94 BROKERAGE 0.06 GOLDMAN SACHS & CO. (ID: 855030-10-2) STAPLES INC @ 11.4261 651.29 BROKERAGE 1.14 RBC CAPITAL MARKETS CORPORATION (ID: 855030-10-2) STAPLES INC @ 11.6519 349.56 BROKERAGE 0.60 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) XILINX CORP @ 33.8424 33.84 BROKERAGE 0.02 CREDIT SUISSE FIRST BOSTON LLC (ID: 983919-10-1) 26.000 1.000 22.000 2.000 1.000 48.000 3.000 57.000 30.000 1.000 11.813 69.15 11.583 34.025 33.91 11.598 11.667 11.446 11.672 33.86 (307.13) (69.15) (254.82) (68.05) (33.91) (556.70) (35.00) (652.43) (350.16) (33.86) 3.000 33.887 (101.66) EFTA01572688 Quantity 51.000 Per Unit Amount 11.821 Market Cost (602.87) Page 14 of 17 EFTA01572689 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Settle Date Type Settled Securities Purchased 11/8 Purchase 11/14 11/8 11/14 Total Settled Securities Purchased Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 11/28 12/3 11/28 12/3 11/28 12/3 11/28 12/3 11/29 12/4 11/29 12/4 11/29 12/4 11/30 12/5 Page 15 of 17 Sale Sale Sale Sale Sale Sale Sale CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) Quantity (2.000) EFTA01572690 (4.000) (1.000) (2.000) (19.000) (5.000) (2.000) (34.000) Per Unit Amount 29.265 29.408 29.602 29.155 29.35 29.051 29.185 28.952 Purchase Description PEPSICO INC @ 69.0683 138.14 BROKERAGE 0.04 DEUTSCHE BANC ALEX BROWN INC (ID: 713448-10-8) XILINX CORP @ 34.0114 136.05 BROKERAGE 0.08 DEUTSCHE BANC ALEX BROWN INC (ID: 983919-10-1) Quantity 2.000 4.000 Per Unit Amount 69.09 34.033 Market Cost (138.18) (136.13) ($5,692.71) Proceeds 58.48 117.54 29.57 58.26 557.27 145.15 58.32 983.68 Tax Cost (91.90) (183.80) (45.95) (91.90) (791.94) (202.43) (80.97) EFTA01572691 (1,347.08) Realized Gain/Loss (33.42) S (66.26) S (16.38) S (33.64) S (234.67) S (57.28) S (22.65) S (363.40) S EFTA01572692 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 11/30 12/5 11/30 12/5 Total Pending Sales, Maturities, Redemptions $2,813.73 ($3,926.75) ($1,113.02) S Sale CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC (ID: 18683K-10-1) Quantity (23.000) (5.000) Per Unit Amount 28.759 28.913 Proceeds 661.00 144.46 Tax Cost (896.97) (193.81) Realized Gain/Loss (235.97) S (49.35) S Trade Date Est. Settle Date Type Pending Securities Purchased 11/28 Purchase 12/3 11/28 12/3 11/29 12/4 11/29 12/4 11/29 12/4 11/29 12/4 EFTA01572693 11/29 12/4 Purchase Purchase Purchase Purchase Purchase Purchase Description XILINX CORP (ID: 983919-10-1) XILINX CORP (ID: 983919-10-1) MC DONALDS CORP (ID: 580135-10-1) XILINX CORP (ID: 983919-10-1) XILINX CORP (ID: 983919-10-1) CHEVRON CORP (ID: 166764-10-0) STAPLES INC (ID: 855030-10-2) Quantity 4.000 3.000 8.000 15.000 3.000 7.000 26.000 Per Unit Amount 34.292 34.388 86.436 34.563 34.471 105.824 11.758 Market Cost (137.25) (103.23) (691.65) (518.75) (103.48) (740.91) (306.24) Page 16 of 17 EFTA01572694 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 11/1/12 to 11/30/12 Trade Date Est. Settle Date Type Pending Securities Purchased 11/29 Purchase 12/4 11/29 12/4 11/30 12/5 11/30 12/5 11/30 12/5 11/30 12/5 Total Pending Securities Purchased ($3,526.94) Purchase Purchase Purchase Purchase Purchase Description STAPLES INC (ID: 855030-10-2) STAPLES INC (ID: 855030-10-2) STAPLES INC (ID: 855030-10-2) STAPLES INC (ID: 855030-10-2) STAPLES INC (ID: 855030-10-2) STAPLES INC (ID: 855030-10-2) Quantity 8.000 6.000 37.000 11.000 16.000 1.000 Per Unit Amount 11.758 11.745 11.694 11.668 11.657 11.725 Market Cost (94.23) (70.59) (433.45) EFTA01572695 (128.57) (186.84) (11.75) Page 17 of 17 EFTA01572696 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01572697 For the Period 11/1/12 to 11/30/12 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 EFTA01572698 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 a particular security, the price column on your statement will indicate "unpriced". If a partial call is made with respect to an issue of securities included in your Accounts we will allocate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and estimated yield (EY): EAI and EY for certain types of securities could include a return of principal or capital gains in which case the EAI and EY would be overstated. EAI and EY are estimates and the actual income and yield might be lower or higher than the estimated amounts. EY reflects only the income generated by an investment. It does not reflect changes in its price, which may fluctuate. Offshore Deposits - London and Nassau Disclosures Page 1 of 2 EFTA01572699 For the Period 11/1/12 to 11/30/12 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Government; amounts in such foreign accounts do not have the benefit of any domestic preference applicable to U.S Banks; certain Foreign accounts are considered reportable to the Internal Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to JPMCB at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights. If you have any questions please contact your J.P. Morgan team. In your written communication, please provide the following information: (1) your name and account 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. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to EFTA01572700 modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. Disclosures Page 2 of 2 EFTA01572701