EFTA01575657.pdf

EFTA01575657 EFTA01575658 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL IRA 270 Park Avenue, 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 relati ng to each J.P.Morgan account(s). Table of Contents Account Summary Portfolio Activity Page 2 4 Page 1 of 5 EFTA01575659 GHISLAINE MAXWELL IRA ACCT. For the Period 2/1/14 to 2/28/14 Account Summary Asset Allocation Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 56,924.46 $56,924.46 36.05 $56,960.51 Current Portfolio Activity Beginning Market Value Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Tax Summary Domestic Dividends/Distributions Taxable Income Period Value 56,924.46 (56,227.12) ($56,227.12) 36.05 $733.39 Current Period Value 36.05 $36.05 Ending Market Value 733.39 $733.39 0.00 $733.39 Change In Value (56,191.07) ($56,191.07) (36.05) ($56,227.12) Year-to-Date Value 56,749.45 (56,227.12) ($56,227.12) 108.06 103.00 $733.39 Year-to-Date Value 108.06 $108.06 Estimated $0.00 Current Annual Income Allocation 100% 100% Page 2 of 5 EFTA01575660 GHISLAINE MAXWELL IRA ACCT. For the Period 2/1/14 to 2/28/14 Cash s Fixed Income Detail Price Cash US DOLLAR 1.00 733.39 733.39 733.39 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 3 of 5 EFTA01575661 GHISLAINE MAXWELL IRA ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income TRADE ACTIVITY Total Trade Activity Settled Securities Purchased Ending Cash Balance Current Period Value 733.39 36.05 $36.05 (36.05) ($36.05) $733.39 * 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 S OUTFLOWS Type Settle Date Selection Method 2/3 Div Domest Description JPM SHORT DURATION BOND FD - SEL FUND 3133 @ 0.007 PER SHARE (ID: 4812C1-33-0) Quantity Cost 5,150.419 Per Unit Amount 0.007 Amount 36.05 Year-To-Date Value* - 108.06 $108.06 (108.06) ($108.06) -Current Securities Transferred In/Out Securities Transferred Out Period Value (56,227.12) Year-To-Date Value• (56,227.12) Page 4 of 5 EFTA01575662 GHISLAINE MAXWELL IRA ACCT. For the Period 2/1/14 to 2/28/14 SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred Out 2/25 Description IRA NonCashTransfr JPM SHORT DURATION BOND FD - SEL FUND 3133 TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 4812C1-33-0) TRADE ACTIVITY Trade Date Settle Date Type Settled Securities Purchased 2/3 Purchase 2/3 Description JPM SHORT DURATION BOND FD - SEL FUND 3133 REINVESTED @ 10.91 PER SHARE (ID: 4812C1-33-0) Quantity 3.304 * Transaction Market Value is representative of the prior trading day's market value. This is for in formational 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 (5,153.723) 56,735.66 Transaction Market Value * (56,227.12) Per Unit Amount 10.911 Market Cost (36.05) Page 5 of 5 EFTA01575663 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01575664 For the Period 2/1/14 to 2/28/14 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in o ne 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 b and 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 provi ded 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, wee kly 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 t he 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 sho uld not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. M organ 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 deposi t 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 exp ressly 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 us es 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 transac tion. Certain assets, including but not limited to, pooled and private investments, non-publicly traded an d infrequently traded securities, derivatives, partnership interests and tangible assets are general ly illiquid, the value of such asset may have been provided to us by third parties who may or may not b e independent of the issuer or manager. Such information is reflected as of the last date provided t 0 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 valu e 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 liquidate d. Such values may only be indicative. When we are unable to obtain a current value from an internal or outside source for a particular sec urity, 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 a 'locate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and esti mated 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 act ual 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 3 EFTA01575665 For the Period 2/1/14 to 2/28/14 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Governme nt; 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 Intern al 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 a ffiliates. 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 affil iates. 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. Morg an 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 reli ed 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 b e 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.Mo rgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR ASSET ACCOUNT(S) (LINKED TO JPMS) Your Asset Account consists of a bank account that custodies assets linked to a brokerage account th rough which securities transactions are executed. As a result, the Asset Account statement(s) reflec t brokerage transactions executed through JPMS but (except for exchange listed options) held in custod y at JPMCB. Securities purchased or sold through JPMS in U.S. markets (other then mutual funds) are cleared through an affiliate of JPMS, in non-U.S. markets securities are cleared through JPMS. Positions in exchange-listed options are held by JPMCC. For your convenience, however, positions in exchange-listed options are presented in Asset Account statement(s) together with other assets held in such account(s). All pertinent information about your settled and pending purchases and sales effected through your JPMS account during the period covered by these statement(s), is sum marized in the "Trade Activity" portion of the statement(s). In Case of Other Errors or Questions About Your Asset Account Statement(s) Please review your 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 both the introducing broker, JPMS and the clearing firm , JPMCC at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities I nvestor Protection Act (SIPA). 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 n umber; (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 d escribe 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. JPMCC and JPMS are members of the Securities Investor Protection Corp ("SIPC"), a not-for-profit mem bership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMCC are protected by SIPC up to $500,000 pe r customer, which includes up to $250,000 of protection for cash. SIPC does not protect against losses from fluctuations in the value of the securities. Assets held in custody by JPMCB are not subject to SIPC. You may obtain information about SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by contacting them at (202) 371-8300. In Case of Errors or Questions About Your Electronic Transfers. Disclosures Page 2 of 3 EFTA01575666 For the Period 2/1/14 to 2/28/14 Contact your J.P. Morgan Team at one of the telephone numbers on the front of your statements or wri to us at J.P. Morgan, 500 Stanton Christiana Road, 1/OPS3, 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 th e statement. We must hear from you no later than 60 days after we sent you the FIRST statement on which the error or problem appeared. (1) Tell us your name and account number. (2) Describe the erro ✓ or the transfer you are unsure about, and explain as clearly as you can why you believe it is an error or why you need more information. (3) Tell us the dollar amount of the suspected error. We wil 1 investigate your complaint and will correct any error promptly. If we take more than 10 business days (or 20 business days for new accounts) to do this, we will credit your account for the amount y ou think is in error, so that you will have the use of the money during the time it takes us to comp lete our investigation. In Case of Errors or Questions About Non-Electronic Transfers (Checks or Deposits) Contact JPMorgan Chase Bank, N.A. ("JPMCBm) Member FDIC immediately if a statement is incorrect or i f you need more information about any non-electronic transactions (checks or deposits) on this statement. If any such error appears, you must notify the bank in writing as soon as possible after your statement was made available to you. For more complete details, see the applicable account agreements and appendices that govern your account. Deposit products and services are offered by JPMCB Member FDIC. You must promptly advise your J.P.Morgan representative of material changes in your investment objec tives or financial situation or if you wish to modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its file s to be complete and accurate. With reference to JPMS and JPMCC: A financial statement of this organization is available to you for personal inspection at its offices, or a copy will be mailed to you upon written request. You should have received (or have made available to you) separate confirmations for each securities transaction. All transactions are subject to the terms and conditions stated on the reverse side of such confirmations and are subject to the constitution, by-laws, customs and interpretations of the marketplace where executed and governed by and construed in accordance with the laws of the State of New York and all applicable federal laws and regulations. Further information with respect to com missions and other charges related to the execution of transactions, including options transactions, has been included in confirmations that were previously furnished or have made available to you. Upo n written request, JPMS will promptly supply you with the latest information. Disclosures Page 3 of 3 EFTA01575667