📄 Extracted Text (14,690 words)
GHISLAINE MAXWELL
MIAMI FL 33139-1043
EFTA01567413
EFTA01567414
For the Period 2/1/14 to 2/28/14
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
5,246,357.70
430.00
1,851,554.52
1,036,361.25
1,004,799.02
$9,139,502.49
Ending Net
Market Value
5,275,564.06
0.00
150,094.44
126,444.68
19,270.99
$5,571,374.17
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).
EFTA01567415
Change
In Value
29,206.36
(430.00)
(1,701,460.08)
(909,916.57)
(985,528.03)
($3,568,128.32)
Start on
Page
4
32
35
50
65
0000039029.00.0.9E.00001.MAXWE04.20140304
Consolidated Statement Page 1
EFTA01567416
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567417
For the Period 2/1/14 to 2/28/14
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
3,119,029.47
723,324.88
5,120,049.43
162,777.00
$9,125,180.78
14,321.71
$9,139,502.49
Ending
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
Change
In Value
(1,813,295.76)
(660,257.11)
(1,105,950.67)
4,599.76
($3,574,903.78)
6,775.46
($3,568,128.32)
Estimated
55,929.12
21,094.19
$77,023.31
Current
Annual Income Allocation
24%
1%
72%
3%
100%
Alternative
Assets
EFTA01567418
Cash &
Fixed Income
Equity
Asset Allocation
Other
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
9,125,180.78
(3,754,496.50)
35,629.13
143,963.59
$5,550,277.00
21,097.17
$5,571,374.17
Year-to-Date
Value
9,254,763.38
(3,763,418.41)
52,160.66
6,771.37
$5,550,277.00
21,097.17
$5,571,374.17
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
EFTA01567419
For the Period 2/1/14 to 2/28/14
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
10,540.96
30,467.67
4,840.70
4,118.67
$49,968.00
Net Contributions/
Withdrawals
430.01
(430.00)
(1,842,875.39)
(926,993.87)
(993,549.16)
EFTA01567420
($3,763,418.41)
Tax-Exempt
Income
2,192.66
9,772.82
400.50
$2,192.66
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
(1,968.26)
$8,205.06
1,557.88
(43.12)
$1,514.76
Other Income
& Receipts
30,467.67
4,840.70
4,118.67
$52,160.66
Realized Gain/Loss
Short-term
Long-term
(14,229.93)
12,340.25
5,915.32
$6,771.37
Income &
Distributions
12,733.62
Change in
Investment Value
2,745.73
Ending Market Value
with Accruals
5,275,564.06
0.00
150,094.44
126,444.68
19,270.99
$5,571,374.17
Unrealized
Gain/Loss'
102,190.86
4,841.98
5,885.86
$112,918.70
CONTINUED
Consolidated Statement Page 3
EFTA01567421
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
, New York, NY 10017-2014
ACCT.
For the Period 2/1/14 to 2/28/14
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
14
16
Account Page 1 of 28
Consolidated Statement Page 4
EFTA01567422
GHISLAINE MAXWELL
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,117,026.41
59,229.07
3,897,134.07
162,777.00
$5,236,166.55
10,191.15
$5,246,357.70
Ending
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
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
Period Value
5,236,166.55
430.00
(139.13)
927,739.66
(927,600.52)
$430.01
3,624.73
26,811.94
$5,267,033.23
EFTA01567423
8,530.83
$5,275,564.06
Change
In Value
(892.78)
3,838.70
23,321.00
4,599.76
$30,866.68
(1,660.32)
$29,206.36
Year-to-Date
Value
5,251,123.87
430.00
(368.58)
2,164,805.86
(2,164,437.27)
$430.01
12,733.62
2,745.73
$5,267,033.23
8,530.83
$5,275,564.06
Estimated
50,062.72
18,817.90
$68,880.62
Current
Annual Income Allocation
22%
1%
74%
3%
100%
Cash &
Fixed Income
Equity
Other
Alternative
Assets
Asset Allocation
ACCT.
For the Period 2/1/14 to 2/28/14
Account Page 2 of 28
Consolidated Statement Page 5
EFTA01567424
GHISLAINE MAXWELL
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
22.58
2,102.13
$2,124.71
2,500.00
(999.98)
$1,500.02
Year-to-Date
Value
1,488.05
729.33
8,323.58
$10,540.96
3,750.00
(1,557.34)
$2,192.66
Unrealized Gain/Loss
ACCT.
For the Period 2/1/14 to 2/28/14
To-Date Value
$102,190.86
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
Summary by State*
MA
TX
Current
Period Value
1,500.02
Year-to-Date
Value
692.64
EFTA01567425
1,500.02
Tax-Exempt Income
Summary by State*
Tax-Exempt Income
Current
Period Value
$1,500.02
Year-to-Date
Value
$2,192.66
Account Page 3 of 28
Consolidated Statement Page 6
EFTA01567426
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
1,034,682.24
3,893,728.70
92,027.29
$5,020,438.23
Account Page 4 of 28
Consolidated Statement Page 7
EFTA01567427
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
495,228.99
15,060.00
159.92
440,937.00
165,640.50
$1,117,026.41
Ending
Market Value
489,081.56
14,265.00
172.57
445,348.00
167,266.50
$1,116,133 63
Current
Period Value
1,116,133.63
1,034,682.24
81,451.39
50,062.72
4,028.00
4.47%
Preferred Stocks
Equity as a percentage of your portfolio - 22 %
Change
In Value
(6,147.43)
(795.00)
12.65
4,411.00
1,626.00
($892.78)
Current
EFTA01567428
Allocation
9%
1%
1%
8%
3%
22%
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Concentrated & Other Equity
Asset Cate ories
ACCT.
For the Period 2/1/14 to 2/28/14
Account Page 5 of 28
Consolidated Statement Page 8
EFTA01567429
GHISLAINE MAXWELL
ACCT.
For the Period 2/1/14 to 2/28/14
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
48.63
172967-42-4 C
36.20
37045V-10-0 GM
93.00
806857-10-8 SLB
186.29
78462F-10-3 SPY
54.91
90184L-10-2 TWTR
Total US Large Cap Equity
$489,081.56
$435,852.56
$53,229.00
$6,985.22
$45.20
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
1.43%
2,000.000
109,820.00
90,320.00
19,500.00
1,495.000
278,503.55
250,407.85
28,095.70
113.000
10,509.00
9,524.04
984.96
180.80
45.20
5,009.74
1.72%
EFTA01567430
1.80%
1,373.000
49,702.60
50,000.00
(297.40)
1,647.60
3.31%
358.000
17,409.54
14,048.52
3,361.02
14.32
0.08%
16.53
944.000
15,604.32
10,148.85
5,455.47
37.76
0.24%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
79.29
95.000
7,532.55
11,403.30
(3,870.75)
95.00
1.26%
4.76
3,000.000
14,265.00
18,129.32
(3,864.32)
Account Page 6 of 28
Consolidated Statement Page 9
EFTA01567431
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
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
25.82
2,500.000
64,550.00
$445,348.00
62,500.00
$422,578.96
2,050.00
$22,769.04
4,187.50
$31,227.50
6.49%
7.01%
25.19
4,200.000
105,798.00
98,778.96
7,019.04
7,350.00
6.95%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
57.52
3.000
172.57
212.23
(39.66)
EFTA01567432
27.50
10,000.000
275,000.00
261,300.00
13,700.00
19,690.00
7.16%
Concentrated & Other Equity
JPMORGAN CHASE & CO
111.51
VAR RT PFD STK 04/30/2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
150,000.000
167,266.50
157,909.17
9,357.33
11,850.00
3,982.80
7.01%
Account Page 7 of 28
Consolidated Statement Page 10
EFTA01567433
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
59,229.07
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
$63,067.77
$76,999.78
127.62
190.000
24,247.80
31,931.40
128.97
301.000
38,819.97
45,068.38
Quantity
Estimated
Value
Cost
Est. Annual Income
Accrued Income
Ending
Estimated Value
63,067.77
Change
In Value
3,838.70
Current
Allocation
1%
Account Page 8 of 28
Consolidated Statement Page 11
EFTA01567434
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
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
2,798,694.16
1,605.21
302,857.94
629,761.77
164,214.99
$3,897,134.07
Ending
Market Value
2,803,563.05
315,330.62
0.00
633,584.40
167,977.00
$3,920,455.07
Current
Period Value
3,920,455.07
3,893,728.70
26,726.37
18,817.90
4,502.83
0.33%
Change
In Value
4,868.89
313,725.41
(302,857.94)
3,822.63
3,762.01
$23,321.00
Current
Allocation
EFTA01567435
53%
6%
12%
3%
74%
Non-US Fixed Income
Non-USD Cash
Cash
US Fixed Income
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 74 %
Account Page 9 of 28
Consolidated Statement Page 12
EFTA01567436
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
3,392,006.07
311,290.00
217,159.00
$3,920,455.07
% 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:
A - Bonds purchased at a premium show amortization.
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
2,803,562.05
1.00
2,803,562.05
1.00
$2,803,563.05
2,803,562.05
1.00
$2,803,563.05
$0.00
$280.35
$21.28
0.01%
EFTA01567437
280.35
21.28
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
2,803,563.05
315,330.62
311,290.00
217,159.00
250,808.93
22,303.47
$3,920,455.07
% of Bond
Portfolio
73%
8%
7%
5%
6%
1%
100%
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.
Account Page 10 of 28
Consolidated Statement Page 13
EFTA01567438
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Price
Non-USD Cash
CANADIAN DOLLAR
POUND STERLING
NORWEGIAN KRONE
Total Non-USD Cash
0.90
1.68
0.17
116,547.97
976.73
1,248,562.59
105,287.45
1,636.85
208,406.32
$315,330.62
114,124.85
1,609.84
210,728.51
$326,463.20
(8,837.40)
27.01
(2,322.19)
($11,132.58)
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
US Fixed Income
3PM 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
EFTA01567439
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
105.59
150,000.00
158,385.00
150,000.00
8,385.00
5,400.00
1,590.00
1.48%
100.24
50,000.00
50,120.00
45,394.50
4,725.50
237.55
11.85
0.37%
212.41
102.79
105.00
100,000.00
22,303.47
102,785.00
19,023.08
100,000.00
3,280.39
200.95
2,785.00
2,900.00
1,095.50
1.16%
10,705.95
7.74
82,831.93
81,082.31
1,749.62
Account Page 11 of 28
Consolidated Statement Page 14
EFTA01567440
GHISLAINE MAXWELL
ACCT.
For the Period 2/1/14 to 2/28/14
Price
US Fixed Income
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
$633,584.40
$606,197.13
$615,466.89
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 BP
219.55
187.90
41,253.59
39,293.00
1,960.59
$27,387.27
$18,537.55
$4,481.55
2.03%
105.61
50,000.00
52,802.50
51,581.86
54,040.00
1,220.64
2,500.00
319.40
4.55%
109.27
100,000.00
EFTA01567441
109,271.00
106,127.35
110,503.00
3,143.65
5,000.00
222.20
4.16%
110.17
50,000.00
55,085.50
52,988.03
55,424.00
2,097.47
2,500.00
1,041.65
3.97%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 12 of 28
Consolidated Statement Page 15
EFTA01567442
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Price
Non-US Fixed Income
ISHARES GBP INDEX-LINKED GILTS
UCITS ETF
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 BP
Total Non-US Fixed Income
$167,977.00
$157,505.32
$10,471.68
$0.00
0.00%
21.89
5,790.00
126,723.41
118,212.32
8,511.09
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 13 of 28
Consolidated Statement Page 16
EFTA01567443
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
162,777.00
Ending
Estimated Value
167,376.76
Change
In Value
4,599.76
Current
Allocation
3%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
167,376.76
92,027.29
7,945.11
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
153.39
450.272
69,067.47
1,663.11 **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 14 of 28
EFTA01567444
Consolidated Statement Page 17
EFTA01567445
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced
$167,376.76
$92,027.29
$7,945.11
22.54
4,361.513
98,309.29
90,364.18
7,945.11
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 15 of 28
Consolidated Statement Page 18
EFTA01567446
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Total Inflows
Ending Cash Balance
Period Value
2,798,693.16
4,438.89
430.00
$4,868.89
$2,803,562.05
Year-To-Date
Value*
-13,181.67
430.00
$13,611 67
-$0.00
$0.00
$0.00
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Current
Cost
Adjustments
Amortization
Total Cost Adjustments
Period Value
(999.98)
($999.98)
* 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
Year-To-Date
Value*
(1,557.34)
($1,557.34)
Account Page 16 of 28
Consolidated Statement Page 19
EFTA01567447
EFTA01567448
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/3
2/3
2/11
2/18
Interest Income
Interest Income
Corporate Interest
Municipal Interest
Description
DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14
@ .01% RATE ON AVG COLLECTED BALANCE OF
$2,792,062.09 AS OF 02/01/14
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007
(ID: 36962G-2V-5)
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 (ID: 090874-FV-5)
2/21
2/24
Div Domest
Misc Credit
APACHE CORP @ 0.20 PER SHARE (ID: 037411-10-5)
BOOK TRANSFER CREDIT B/0: J P MORGAN CLEARING
CORP BROOKLYN NY 11245-0003 ORG:/2415587324
GHISLAINE MAXWELL OGB: JPMCLEARING CORP
METROTECH CENTER TRN: 1210700055JJ
2/28
Div Domest
Total Inflows & Outflows
CITIGROUP INC NEW @ 0.01 PER SHARE
(ID: 172967-42-4)
358.000
0.01
3.58
$4,868.89
95.000
0.20
19.00
430.00
100,000.000
0.025
EFTA01567449
2,500.00
4,200.000
50,000.000
0.438
0.001
1,837.50
55.54
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
23.27
INCOME
Amount
Account Page 17 of 28
Consolidated Statement Page 20
EFTA01567450
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
COST ADJUSTMENTS
Settle Date
2/18
Type
Amortization
Description
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 MUNICIPAL BOND PREMIUM
AMORTIZATIO (ID: 090874-FV-5)
Quantity
100,000.000
Cost Basis
Adjustments
(999.98)
Account Page 18 of 28
Consolidated Statement Page 21
EFTA01567451
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
Period Value
-50.89
$50.89
(38.21)
($38.21)
114,112.17
$114,112.17
-Year-To-Date
Value*
-111.65
$111.65
(98.97)
($98.97)
114,112.17
$114,112.17
-Local
Value
Current
Period Value
0.00
56.19
56.19
(42.14)
(42.14)
116,533.92
116,533.92
116,547.97
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
EFTA01567452
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Year-To-Date
Value*
-122.38
122.38
(108.33)
(108.33)
116,533.92
116,533.92
-Account
Page 19 of 28
Consolidated Statement Page 22
EFTA01567453
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
317,005.86
(316,967.65)
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 position
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/5
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 01/29/2014 MATURITY 02/05/2014
HELD BY LONDON TREASURY SERVICES
(ID: 2538N9-9B-0)
2/5
2/12
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 02/05/2014 MATURITY 02/12/2014
HELD BY LONDON TREASURY SERVICES
(ID: 2538P9-9S-1)
2/12
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(14.050)
(12.72)
(14.05)
Account Page 20 of 28
Consolidated Statement Page 23
(14.040)
116,505.820
(12.67)
(14.04)
EFTA01567454
12.72
14.05
Quantity
116,491.780
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.67
14.04
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01567455
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/19
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/12/2014 MATURITY 02/19/2014
HELD BY LONDON TREASURY SERVICES
(ID: 2538R9-9N-0)
2/19
2/26
Misc Disbursement REP: ROLLOVER T0 TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/19/2014 MATURITY 02/26/2014
HELD BY LONDON TREASURY SERVICES
(ID: 2538T9-9J-7)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
2/5
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/05/2014 MATURITY 02/12/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538P9-9S-1)
2/12
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/12/2014 MATURITY 02/19/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538R9-9N-0)
Account Page 21 of 28
Consolidated Statement Page 24
116,519.870
114,099.35
105,509.91
$12.68
$0.00
(14.050)
116,533.920
(12.82)
(14.05)
EFTA01567456
12.68
14.05
Quantity
116,519.870
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.82
14.05
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
116,505.820
114,086.63
Transaction
Market Value *
105,135.42
EFTA01567457
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
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
2/19
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/19/2014 MATURITY 02/26/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253819-9J-7)
Total Securities Transferred In
Securities Transferred Out
2/5
Free Delivery
$317,005.86
Quantity
Cost
116,533.920
114,112.17
Transaction
Market Value *
106,360.53
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 01/29/2014 MATURITY 02/05/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538N9-9B-0)
2/12
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/05/2014 MATURITY 02/12/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538P9-9S-1)
2/19
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 02/12/2014 MATURITY 02/19/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538R9-9N-0)
Total Securities Transferred Out
($316,967.65)
(116,519.870)
114,099.35
(106,347.71)
(116,505.820)
EFTA01567458
114,086.63
(105,497.19)
(116,491.780)
114,073.96
(105,122.75)
Account Page 22 of 28
Consolidated Statement Page 25
EFTA01567459
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
TRADE ACTIVITY - Canadian Dollar
Per Unit
Trade Date
Settle Date
2/26
2/26
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Quantity
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (116,533.920)
0.6200% DATED 02/19/2014 MATURITY 02/26/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538T9-9J-7)
Amount USD
Local Value
97.922
100.00
Proceeds USD
Local Value
114,112.17
116,533.92
Tax Cost USD
Realized
Local Value Gain/Loss USD
(114,112.17)
(116,533.92)
Account Page 23 of 28
Consolidated Statement Page 26
EFTA01567460
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
Period Value
-134.93
$134.93
(100.92)
($100.92)
210,694.50
$210,694.50
-Year-To-Date
Value*
-303.62
$303.62
(269.61)
($269.61)
210,694.50
$210,694.50
-Local
Value
Current
Period Value
0.00
825.10
825.10
(618.77)
(618.77)
1,248,356.26
1,248,356.26
1,248,562.59
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
EFTA01567461
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Year-To-Date
Value*
-1,864.33
1,864.33
(1,658.00)
(1,658.00)
1,248,356.26
1,248,356.26
-Account
Page 24 of 28
Consolidated Statement Page 27
EFTA01567462
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Summary - Norwegian Krone
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
610,733.80
(610,632.87)
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 position
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/6
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 253809-9B-9)
2/6
2/13
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2538Q9-9J-0)
2/13
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(206.260)
(33.73)
(206.26)
Account Page 25 of 28
Consolidated Statement Page 28
(206.220)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,943.710
0.8500% DATED 02/06/2014 MATURITY 02/13/2014
(33.03)
(206.22)
33.73
206.26
Quantity
EFTA01567463
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,737.490
0.8500% DATED 01/30/2014 MATURITY 02/06/2014
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
33.03
206.22
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01567464
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/20
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2538S9-9F-6)
2/20
2/27
Misc Disbursement REP: ROLLOVER T0 TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2538U9-9D-8)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
2/6
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 02/06/2014 MATURITY 02/13/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538Q9-9J-0)
2/13
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 02/13/2014 MATURITY 02/20/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538S9-9F-6)
Account Page 26 of 28
Consolidated Statement Page 29
1,248,149.970
210,660.34
204,091.13
$34.01
$0.00
(206.290)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,248,356.260
0.8500% DATED 02/20/2014 MATURITY 02/27/2014
(34.16)
(206.29)
34.01
206.33
Quantity
EFTA01567465
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,248,149.970
0.8500% DATED 02/13/2014 MATURITY 02/20/2014
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
34.16
206.29
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
1,247,943.710
210,626.61
Transaction
Market Value *
199,901.28
EFTA01567466
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
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
2/20
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 02/20/2014 MATURITY 02/27/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538U9-9D-8)
Total Securities Transferred In
Securities Transferred Out
2/6
Free Delivery
$610,733.80
Quantity
Cost
1,248,356.260
210,694.50
Transaction
Market Value *
206,741.39
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 01/30/2014 MATURITY 02/06/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253809-9B-9)
2/13
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 02/06/2014 MATURITY 02/13/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538Q9-9J-0)
2/20
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.8500% DATED 02/13/2014 MATURITY 02/20/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538S9-9F-6)
Total Securities Transferred Out
($610,632.87)
(1,248,149.970 )
210,660.34
(206,707.23)
(1,247,943.710 )
EFTA01567467
210,626.61
(204,057.40)
(1,247,737.490 )
210,593.58
(199,868.24)
Account Page 27 of 28
Consolidated Statement Page 30
EFTA01567468
GHISLAINE MAXWELL ACCT.
For the Period 2/1/14 to 2/28/14
TRADE ACTIVITY - Norwegian Krone
Per Unit
Trade Date
Settle Date
2/27
2/27
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1,248,356.260
0.8500% DATED 02/20/2014 MATURITY 02/27/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538U9-9D-8)
Amount USD
Local Value
16.878
100.00
Proceeds USD
Local Value
210,694.50
1,248,356.26
Tax Cost USD
Realized
Local Value Gain/Loss USD
(210,694.50)
(1,248,356.26)
Account Page 28 of 28
Consolidated Statement Page 31
EFTA01567469
J.P. Morgan Securities LLC
GHISLAINE MAXWELL
, New York, NY 10179
ACCT.
For the Period 2/1/14 to 2/28/14
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,
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
Portfolio Activity
Page
2
3
Account Page 1 of 3
Consolidated Statement Page 32
EFTA01567470
GHISLAINE MAXWELL
Account Summary
MARGIN
Cash
Asset Allocation
Cash & Fixed Income
Market Value
0.00
Margin
Market Value
0.00
Short
Market Value
0.00
Market Value Annual Income Allocation
0.00
Total
Estimated
Current
ACCT.
For the Period 2/1/14 to 2/28/14
Account Page 2 of 3
Consolidated Statement Page 33
EFTA01567471
GHISLAINE MAXWELL
Portfolio Activity Summary
Beginning Cash Balance
Transactions
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
ACCT.
For the Period 2/1/14 to 2/28/14
PRINCIPAL
INCOME
Current
Period Value
430.00
(430.00)
($430.00)
$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
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/24
Description
Misc Disbursement MDA# CB172436 FNDS WIRED TO SUB-ACCOUNT: MGN
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
(430.00)
INCOME
Amount
Year-To-Date
Value*
-(430.00)
($430.00)
-Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
$0.00
EFTA01567472
-Account
Page 3 of 3
Consolidated Statement Page 34
EFTA01567473
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567474
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - OAP IHD
, New York, NY 10017-2014
ACCT.
For the Period 2/1/14 to 2/28/14
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
4
6
Account Page 1 of 15
Consolidated Statement Page 35
EFTA01567475
GHISLAINE MAXWELL - OAP IHD
Account Summary
Asset Allocation
Equity
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,847,938.92
$1,847,938.92
3,615.60
$1,851,554.52
Ending
Market Value
137,528.10
$137,528.10
12,566.34
$150,094.44
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
Period Value
1,847,938.92
(56,396.57)
42,152.23
(1,822,775.63)
($1,837,019.97)
28,036.93
98,572.22
$137,528.10
12,566.34
$150,094.44
Change
In Value
(1,710,410.82)
($1,710,410.82)
8,950.74
($1,701,460.08)
Year-to-Date
Value
1,964,165.75
EFTA01567476
(62,251.99)
42,152.23
(1,822,775.63)
($1,842,875.39)
30,467.67
(14,229.93)
$137,528.10
12,566.34
$150,094.44
Estimated
5,106.04
$5,106.04
Current
Annual Income Allocation
100%
100%
ACCT.
For the Period 2/1/14 to 2/28/14
Account Page 2 of 15
Consolidated Statement Page 36
EFTA01567477
GHISLAINE MAXWELL OAP IHD
Account Summary
Tax Summary
Foreign Dividends
Interest Income
Taxable Income
CONTINUED
Current
Period Value
28,034.21
2.72
$28,036.93
Year-to-Date
Value
30,463.70
3.97
$30,467.67
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
622.50
1,557.88
$2,180.38
Year-to-Date
Value
9,772.82
1,557.88
$11,330.70
ACCT.
For the Period 2/1/14 to 2/28/14
Unrealized Gain/Loss
To-Date Value
$4,841.98
Cost Summary
Equity
Total
132,686.12
Cost
$132,686.12
Account Page 3 of 15
Consolidated Statement Page 37
EFTA01567478
GHISLAINE MAXWELL - OAP IHD
Equity Summary
Asset Categories
EAFE Equity
Beginning
Market Value
1,847,938.92
Ending
Market Value
137,528.10
Change
In Value
(1,710,410.82)
Current
Allocation
100%
ACCT.
For the Period 2/1/14 to 2/28/14
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Equity Detail
Price
EAFE Equity
ASTRAZENECA PLC
SPONS ADR
046353-10-8 AZN
GLAXOSMITHKLINE PLC
SPONS ADR
37733W-10-5 GSK
55.94
0.00
684.77
4.41%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Period Value
137,528.10
132,686.12
EFTA01567479
4,841.98
5,106.04
12,566.34
3.71%
67.76
0.00
624.15
4.13%
Account Page 4 of 15
Consolidated Statement Page 38
EFTA01567480
GHISLAINE MAXWELL - OAP IHD
ACCT.
For the Period 2/1/14 to 2/28/14
Price
EAFE Equity
KIRIN HOLDINGS COMPANY LTD
SPONS ADR
497350-30-6 KNBW
RECKITT BENCKISER GROUP PLC
SPONSORED ADR
756255-20-4 RBGL
ROCHE HOLDINGS LTD
SPONS ADR
771195-10-4 RHHB Y
ROYAL DUTCH SHELL PLC
ADR
780259-10-7 RDS
UNILEVER N V
US DOLLAR
39.56
904784-70-9 UN
1.00
VERIZON COMMUNICATIONS INC
VODAFONE GROUP PLC
92343V-10-4 VZ
41.57
SPONS ADR
92857W-20-9
VODAFONE GROUP PLC-SP ADR
Total EAFE Equity
92857W-30-8 VOD
$137,528.10
$132,686.12
$4,841.98
$5,106.04
$12,566.34
3.71%
41.57
1,039.000
43,191.23
53,061.37
(9,870.14)
0.00
9,387.85
3,072.32
7.11%
3.88%
47.58
16,767.290
501.000
16,767.29
EFTA01567481
23,837.58
16,767.29
23,477.65
359.93
0.00
430.34
1,062.12
4.46%
3.09%
77.92
0.00
324.00
4.62%
16.63
38.38
1,400.000
53,732.00
0.00
776.95
39,379.81
14,352.19
971.60
1.81%
2.54%
13.71
0.00
338.28
2.02%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Account Page 5 of 15
Consolidated Statement Page 39
EFTA01567482
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2/28/14
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
18,056.26
(41,187.63)
($23,131.37)
$16,767.29
* 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
97,187.76
(103,712.32)
($6,524.56)
-Current
Period
Value
68,258.30
28,036.93
$28,036.93
(52,622.75)
(3,234.09)
(539.73)
($56,396.57)
Year-To-Date
Value*
-30,467.67
$30,467.67
(52,672.05)
(8,781.61)
(798.33)
($62,251.99)
Current
Securities
Transferred In/Out
Securities Transferred In
EFTA01567483
Securities Transferred Out
Period Value
42,152.23
(1,822,775.63)
Year-To-Date
Value*
42,152.23
(1,822,775.63)
Account Page 6 of 15
Consolidated Statement Page 40
EFTA01567484
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2/28/14
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/3
2/5
2/5
2/5
2/5
2/21
2/24
Interest Income
Foreign Dividend
Expenses
Foreign Dividend
FGN Tax Withheld
Foreign Dividend
Foreign Dividend
Description
DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14
@ .03% RATE ON AVG COLLECTED BALANCE OF
$50,803.92 AS OF 02/01/14
VODAFONE GROUP PLC SPONS ADR @ 0.585415 PER
SHARE (ID: 92857W-20-9)
VODAFONE GROUP PLC SPONS ADR REPRESENTS @ .015
DEPOSITORY FEE (ID: 92857W-20-9)
SIEMENS A G SPONS ADR @ 4.092767 PER SHARE
(ID: 826197-50-1)
SIEMENS A G SPONS ADR TAX WITHHELD GERMANY
26.40% (ID: 826197-50-1)
IMPERIAL TOBACCO PLC ADR @ 2.708669 PER SHARE
(ID: 453142-10-1)
VODAFONE GROUP PLC SPONS ADR TAXABLE SPIN-OFF -
HOLDERS RECEIVE 0.263001 OF A SHARE OF VERIZON
COMMUNICATIONS, CUSIP: 92343V104, FOR EACH
SPONSORED ADR HELD. SPIN-OFF IS TAXABLE AS A
DIVIDEND VALUED AT 12.324227 PER SHARE OF
VERIZON COMMUNICATIONS. THE NEW SHARES WILL
HAVE A COST BASIS OF $46.86 PER SHARE BASED ON
THE FAIR MARKET VALUE AS OF CLOSE OF BUSINESS
ON 2/24/2014. (ID: 92857W-20-9)
2/26
2/26
Misc Disbursement
TRANSFER TO UBS FINANCIAL SERVICES INC.
Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR
THE PERIOD 01-01-2014 TO 02-24-2014
(52,594.17)
(2,047.34)
EFTA01567485
1,905.000
1,905.000
500.000
500.000
515.000
1,905.000
2.709
12.324
4.093
0.585
1,115.22
(28.58)
2,046.38
(539.73)
1,394.96
23,477.65
Quantity
Cost
Per Unit
Amount
Amount
1.34
Account Page 7 of 15
Consolidated Statement Page 41
EFTA01567486
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2/28/14
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/26
2/27
2/27
Interest Income
Stock Split
Description
INTEREST FOR 02/01/14 THRU 02/25/14 @ 0.030% ON
NET AVERAGE COLLECTED BALANCE OF 69,668.73
ROCHE HOLDINGS LTD SPONS ADR 2 FOR 1 STOCK
SPLIT (ID: 771195-10-4)
Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT
FEE FOR 01-01-2014 TO 02-24-2014
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
2/27
Description
NonTaxableExchange VODAFONE GROUP PLC-SP ADR REVERSE SPLIT
HOLDERS RECEIVE 6 NEW SPONSORED ADRS FOR EVERY
11 OLD SPONSORED ADRS OF VODAFONE GROUP PLC,
CUSIP: 92857W209, HELD. (ID: 92857W-30-8)
Securities Transferred Out
2/26
Free Delivery
2/26
Free Delivery
700.000
0.00
(1,186.75)
($28,359.64)
Quantity
Cost
Per Unit
Amount
0.03
Amount
1.38
* 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
EFTA01567487
1,039.000
53,061.37
Transaction
Market Value *
42,152.23
ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14
(1,475.000)
31,585.04
(ID: 000375-20-4)
ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES
INC. TRADE DATE 02/25/14 (ID: 021244-20-7)
(4,875.000)
17,770.91
Account Page 8 of 15
(12,894.38)
Consolidated Statement Page 42
(37,214.25)
EFTA01567488
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2/28/14
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
2/26
Free Delivery
2/26
2/26
2/26
2/26
2/26
2/26
2/26
Free Delivery
Free Delivery
Free Delivery
Free Delivery
Free Delivery
Free Delivery
Free Delivery
Description
ASTRAZENECA PLC SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
(ID: 046353-10-8)
BAE SYSTEMS PLC SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
(ID: 05523R-10-7)
BNP PARIBAS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14
(ID: 05565A-20-2)
BAYER A G SPONS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14
(ID: 072730-30-2)
BHP LTD SPONS ADR TRANSFER TO UBS FINANCIAL
SERVICES INC. TRADE DATE 02/25/14
(ID: 088606-10-8)
BOC HONG KONG HOLDINGS LTD SPONS ADR TRANSFER
TO UBS FINANCIAL SERVICES INC. TRADE DATE
02/25/14 (ID: 096813-20-9)
BRITISH AMERICAN TOBACCO PLC SPONS ADR TRANSFER
TO UBS FINANCIAL SERVICES INC. TRADE DATE
02/25/14 (ID: 110448-10-7)
DEUTSCHE TELEKOM AG SPONS ADR TRANSFER TO UBS
FINANCIAL SERVICES INC. TRADE DATE 02/25/14
(ID: 251566-10-5)
EFTA01567489
(4,270.000)
58,928.15
(73,593.45)
(590.000)
62,046.30
(62,304.00)
(555.000)
36,821.52
(34,271.25)
(435.000)
32,227.68
(30,258.60)
(245.000)
24,491.20
(34,015.80)
(1,195.000)
47,674.46
(48,708.20)
(1,000.000)
22,160.00
(27,570.00)
Quantity
Cost
(365.000)
18,351.75
Transaction
Market Value *
(24,743.35)
Account Page 9 of 15
Consolidated Statement Page 43
EFTA01567490
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 2/1/14 to 2/28/14
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
2/26
Free Delivery
2/26
2/26
2/26
2/26
2/26
2/26
2/26
ℹ️ Document Details
SHA-256
60f9ffb21f5d5351360c7457597b9228ae69dfaa2454eb6f2db6057225bfb83d
Bates Number
EFTA01567413
Dataset
DataSet-10
Document Type
document
Pages
137
Comments 0