📄 Extracted Text (6,660 words)
GHISLAINE MAXWELL
EFTA01569693
EFTA01569694
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 8/1/11 to 8/31/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Swetra
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
For important information regarding your accounts refer to the rear of your
statement
212/464-0701
212/622-2654
800/634-1318
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
7
8
13
0000000236.15.0.15.00003.MAXWE00.20110907
Page 1 of 24
EFTA01569695
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
323,294.00
59,860.00
2,236,346.58
$2,619,500.58
18,160.72
$2,637,661.30
Ending
Market Value
318,597.00
60,790.00
2,611,943.13
$2,991,330.13
16,082.11
$3,007,412.24
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
2,619,500.58
545,420.04
(150,321.57)
1,012,740.42
(1,012,418.82)
$395,420.07
7,148.45
(30,738.97)
$2,991,330.13
16,082.11
$3,007,412.24
EFTA01569696
Change
In Value
(4,697.00)
930.00
375,596.55
$371,829.55
(2,078.61)
$369,750.94
Cash &
Fixed Income
Year-to-Date
Value
1,946,279.39
805,513.35
(152,299.92)
7,310,511.28
(7,562,372.85)
$401,351.86
56,338.93
587,359.95
$2,991,330.13
16,082.11
$3,007,412.24
Estimated
15,632.50
Current
Annual Income Allocation
11%
2%
78,448.27
$94,080.77
87%
100%
Alternative
Assets
Equity
Asset Allocation
Page 2 of 24
EFTA01569697
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
7,148.45
$7,148.45
CONTINUED
Current
Period Value
Year-to-Date
Value
2,700.28
(43.73)
62,900.75
(9,218.37)
$56,338.93
Unrealized Gain/Loss
To-Date Value
($162,199.89)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
19,728.75
34,634.68
$54,363.43
Cost Summary
Equity
Cash & Fixed Income
Total
2,597,199.99
Cost
492,320.00
$3,089,519.99
Page 3 of 24
EFTA01569698
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
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
Equity Detail
Price
US Large Cap Equity
AT&T INC
00206R-10-2 T
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Beginning
Market Value
60,268.00
11,550.00
40,000.00
165,266.00
46,210.00
$323,294.00
Ending
Market Value
61,114.00
8,010.00
51,984.00
157,619.00
39,870.00
$318,597.00
Current
Period Value
318,597.00
492,320.00
EFTA01569699
(173,723.00)
15,632.50
593.75
4.90%
Equity as a percentage of your portfolio - 11 %
Non-US Equity
US Large Cap Equity
Change
In Value
846.00
(3,540.00)
11,984.00
(7,647.00)
(6,340.00)
($4,697.00)
Current
Allocation
2%
1%
2%
5%
1%
11%
US Small/Mid Cap Equity
Preferred Stocks
Concentrated & Other Equity
Asset Categories
28.48
1,000.000
28,480.00
31,610.00
(3,130.00)
1,720.00
6.04%
Page 4 of 24
EFTA01569700
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Price
US Large Cap Equity
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
Total US Large Cap Equity
74347R-88-3 SDS
50.52
74347X-23-7 QID
$61,114.00
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
RESEARCH IN MOTION LIMITED
760975-10-2 RIMM
Preferred Stocks
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
25.55
2,500.000
63,875.00
$157,619.00
62,500.00
$161,278.96
1,375.00
($3,659.96)
4,187.50
$11,537.50
6.56%
7.32%
22.32
4,200.000
93,744.00
98,778.96
(5,034.96)
7,350.00
7.84%
32.49
1,600.000
51,984.00
160,288.72
(108,304.72)
$102,623.00
($41,509.00)
EFTA01569701
$1,720.00
2.81%
200.000
10,104.00
26,203.50
(16,099.50)
22.53
1,000.000
22,530.00
44,809.50
(22,279.50)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
2.67
3,000.000
8,010.00
18,129.32
(10,119.32)
Page 5 of 24
EFTA01569702
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Price
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
39.87
1,000.000
39,870.00
50,000.00
(10,130.00)
2,375.00
593.75
5.96%
Page 6 of 24
EFTA01569703
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
59,860.00
Alternative Assets Detail
Price
Hard Assets
BARC CALLABLE PALLDIUM CP NT
05/14/12
LNKD TO PLDMLNPM
7.4% CPN, 20% MAX, 80% BARRIER
05/03/2011
06738K-JA-0
ISHARES SILVER TRUST
Total Hard Assets
46428Q-10-9 SLV
$60,790.00
$64,010.03
40.45
1,000.000
40,450.00
44,010.03
101.70
20,000.000
20,340.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
60,790.00
Change
In Value
930.00
Current
Allocation
2%
Page 7 of 24
EFTA01569704
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
472,581.63
132,125.58
333,400.10
726,732.50
422,468.27
149,038.50
$2,236,346 58
Ending
Market Value
442,590.93
670,968.45
224,425.55
709,957.00
416,306.70
147,694.50
$2,611,943.13
Current
Period Value
2,611,943.13
2,597,199.99
14,743.14
78,448.27
15,488.36
2.82%
Change
In Value
(29,990.70)
538,842.87
(108,974.55)
(16,775.50)
(6,161.57)
EFTA01569705
(1,344.00)
$375,596.55
Current
Allocation
15%
US Fixed Income
22%
8%
23%
14%
5%
87%
Non-USD Short Term
Complementary Structured
Strategies
Non-USD Cash
Asset Categories
Non-US Fixed Income
Cash
Cash & Fixed Income as a percentage of your portfolio 87 %
Page 8 of 24
EFTA01569706
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
10+ years,
Total Value
1
Note:
1
SUMMARY BY TYPE
Market
Value
1,540,797.85
57,587.08
562,910.20
291,544.50
159,103.50
$2,611,943.13
% of Bond
Portfolio
60%
2%
21%
11%
6%
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
NON USD Cash
Corporate Bonds
Govt and Agency Bonds
International Bonds
Complementary Structure
Other
Total Value
Market
Value
442,590.93
670,968.45
205,649.00
100,058.00
784,582.25
147,694.50
EFTA01569707
260,400.00
$2,611,943.13
% of Bond
Portfolio
16%
25%
7%
3%
35%
5%
9%
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.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MM FD MORGAN
Total Cash
Non-USD Cash
CANADIAN DOLLAR
1.00
1.00
442,589.93
1.00
442,589.93
1.00
$442,590.93
442,589.93
1.00
$442,590.93
$0.00
$132.77
$9.79
0.03%
132.77
9.79
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.02
EFTA01569708
114,820.48
117,421.28
112,433.39
4,987.89
Page 9 of 24
EFTA01569709
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Price
Non-USD Cash
POUND STERLING
TURKISH LIRA NEW
PRINCIPAL CURRENCY
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 08/25/2011 MATURITY 09/01/2011
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
Non-USD Short Term
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.5500%
DATED 08/31/2011 MATURITY 09/07/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2524G9-9J-1 NOK
INTER AMERICAN DEVEL BANK - IDR
6.7% OCT 31 2011
DTD 10/30/2009
HELD BY EUROCLEAR
ISIN XS0459432679 SEDOL B5756J3
458183-9K-8 NA /AAA IDR
0.01
419,625,000.00
49,184.25
48,769.75
414.50
3,294.84
2,753.20
7.51%
$670,968.45
$659,094.50
$11,873.95
$1,707.52
0.28%
18.70
589,260.25
110,162.69
102,453.92
7,708.77
1,707.52
1.73%
1.63
0.58
265,331.14
19,500.00
432,025.16
11,359.32
EFTA01569710
432,391.16
11,816.03
(366.00)
(456.71)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
18.70
629,332.41
117,654.22
103,134.56
14,519.66
1,823.63
5.05
1.58%
Page 10 of 24
EFTA01569711
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Price
Non-USD Short Term
INTL BK RECON & DEVELOP - BRL
8.75% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR
ISIN XS0446421157 SEDOL B435Z93
459058-9B-1 NA /AAA BRL
Total Non-USD Short Term
US Fixed Income
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 NA /BA1
FHLB 1.25% 09/29/15
GENERAL ELEC CAP CORP
313371-2G-0 AA+ /WR
93.09
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total US Fixed Income
106.07
150,000.00
159,103.50
157,909.17
1,194.33
11,850.00
3,982.80
$709,957.00
$714,603.67
($4,646.67)
$36,779.19
$5,889.00
Page 11 of 24
7.42%
95.90
150,000.00
143,850.00
150,000.00
(6,150.00)
3,750.00
EFTA01569712
1,364.55
3.24%
50,000.00
46,545.50
45,394.50
1,151.00
100.06
100,000.00
100,058.00
100,000.00
58.00
1,250.00
527.70
239.19
13.95
1.24%
2.02%
$224,425.55
$202,011.05
$22,414.50
$10,076.91
$3,814.93
4.15%
63.99
90,000.00
57,587.08
50,106.74
7,480.34
4,958.44
1,056.68
6.52%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
26.04
10,000.00
260,400.00
261,300.00
(900.00)
19,690.00
7.56%
5.40%
EFTA01569713
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Price
Non-US Fixed Income
KFW - TRY
MTN 9 3/4% JUL 16 2013
DTD 02/10/2010
HELD BY EUROCLEAR
ISIN XS0484842470 SEDOL B637YV8
14085A-9A-6 AAA /AAA TRY
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 IDR
Total Non-US Fixed Income
Complementary Structured Strategies
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A /A2
$416,306.70
$428,899.84
($12,593.14)
$25,626.88
$5,774.64
5.80%
0.01 1,300,000,000.00
157,612.00
150,112.11
7,499.89
9,902.73
2,407.99
5.19%
2.03
6,700,000.00
135,716.81
143,232.17
(7,515.36)
4,364.82
1,908.00
5.89%
Quantity
EFTA01569714
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
61.49
200,000.00
122,977.89
135,555.56
(12,577.67)
11,359.33
1,458.65
6.49%
98.46
150,000.00
147,694.50
150,000.00
(2,305.50)
4,125.00
Page 12 of 24
EFTA01569715
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
6,826.88
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
6,234.88
(4,750.00)
$1,484.88
$442,589.93
* 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
261,624.13
(151,520.00)
$110,104.13
-$0.00
$0.00
$0.00
-113,182.42
$120,009.30
(150,000.00)
($150,000.00)
32,139.99
373,275.73
19,301.36
$424,717.08
(150,000.00)
(144,773.93)
($294,773.93)
$0.00
$0.00
Period
Value
471,095.75
EFTA01569716
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
Page
13 of 24
EFTA01569717
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Summary - U S Dollar
Total Cost Adjustments
Current
Cost Adjustments
Cost Adjustments
Period Value
439,212.42
$439,212.42
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
8/1
8/1
8/1
8/3
8/11
Interest Income
Interest Income
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR JULY @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $314,029.89 AS OF
08/01/11
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187
PER SHARE (ID: 173080-20-1)
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
Misc Disbursement FUNDS TRANSFERRED FROM ASSET AC# Q52167006 TO
INVESTMENT MANAGEMENT AC# A45685004 AS
REQUESTED
Corporate Interest
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007
(ID: 36962G-2V-5)
50,000.000
0.001
59.51
10,000.000
4,200.000
0.492
0.438
4,921.87
1,837.50
(150,000.00)
Quantity
Cost
Per Unit
EFTA01569718
Amount
PRINCIPAL
Amount
8.00
INCOME
Amount
Year-To-Date
Value*
439,212.42
$439,212.42
Page 14 of 24
EFTA01569719
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
8/19
Misc Credit
Description
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE48945944120000 GHISLAINE MAXWELL 44
KINNERTON STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
FROM JP MORGAN/OCMT/USD100000,/BNF/FFC TO SWIFT
CHASUS33 TRN: 6687700231JS
8/24
Misc Credit
FED WIRE CREDIT VIA: BANK OF AMERICA,
N.A./026009593 B/0: GHISLAINE N MAXWELL
1=1.110=11=Mil==10080REF:
CHASE NYC/CTR/BNF=GHISLAINE MAXWELL
AC-000000026521 RFB=P31123607537
BBI=/0CMT/USD13182,42/BNF/DDA/PBD2
0824B6B7HU4R004667 TRN: 2183909236FF
Total Inflows & Outflows
TRADE ACTIVITY
Note:
Trade Date
Settle Date
7/27
8/1
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
DUNKIN BRANDS GROUP INC @ 25.00 6,250.00
BROKERAGE 15.00 TAX &/OR SEC .12 J.P. MORGAN
SECURITIES LLC (ID: 265504-10-0)
Quantity
(250.000)
($29,990.70)
13,182.42
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
100,000.00
INCOME
EFTA01569720
Amount
S indicates Short Term Realized Gain/Loss
* Settled transaction was initiated in prior statement period and settled in
current statement period
Per Unit
Amount
24.94
Proceeds
6,234.88
Tax Cost
(4,750.00)
Realized
Gain/Loss
1,484.88 S*
Page 15 of 24
EFTA01569721
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Trade Date
Settle Date
Type
Settled Securities Purchased
7/27
Purchase
8/1
Description
DUNKIN BRANDS GROUP INC @ 19.00 J.P. MORGAN
SECURITIES LLC (ID: 265504-10-0)
COST ADJUSTMENTS
Settle Date
8/3
8/3
8/3
8/3
8/3
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments
Description
AT&T INC COST BASIS ADJUSTMENT (ID: 00206R-10-2)
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007 COST BASIS
ADJUSTMENT (ID: 36962G-2V-5)
ISHARES SILVER TRUST COST BASIS ADJUSTMENT
(ID: 46428Q-10-9)
JPMORGAN CHASE & CO 7.9% PFD STK APR 30 2049
DTD 04/23/2008 COST BASIS ADJUSTMENT
(ID: 46625H-HA-1)
RESEARCH IN MOTION LIMITED COST BASIS
ADJUSTMENT (ID: 760975-10-2)
1,600.000
160,288.72
$439,212.42
1,000.000
150,000.000
44,010.03
157,909.17
Quantity
1,000.000
50,000.000
Cost Basis
Adjustments
31,610.00
EFTA01569722
45,394.50
Quantity
250.000
Per Unit
Amount
19.00
Market Cost
(4,750.00) *
Page 16 of 24
EFTA01569723
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-321.57
$321.57
(321.57)
($321.57)
-Year-To-Date
Value*
-2,299.92
$2,299.92
(2,299.92)
($2,299.92)
-Local
EFTA01569724
Value
Current
Period Value
0.00
1,747.03
1,747.03
(1,747.03)
(1,747.03)
0.00
Year-To-Date
Value*
-12,708.31
12,708.31
(12,708.31)
(12,708.31)
-Page
17 of 24
EFTA01569725
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/3
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 07/27/2011 MATURITY 08/03/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523K9-9L-3)
8/3
8/3
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
8/3
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 07/27/2011 MATURITY 08/03/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523K9-9L-3)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 08/03/2011 MATURITY 08/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Q9-9B-9)
8/4
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 07/28/2011 MATURITY 08/04/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523L9-9U-2)
8/4
8/4
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 07/28/2011 MATURITY 08/04/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523L9-9U-2)
(205.980)
(588,521.800)
(38.29)
(205.98)
588,521.800
EFTA01569726
38.29
205.98
628,543.740
(219.910)
(628,323.830)
(40.78)
(219.91)
Quantity
628,323.830
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
40.78
219.91
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 18 of 24
EFTA01569727
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 08/04/2011 MATURITY 08/11/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523R9-9B-8)
8/10
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 08/03/2011 MATURITY 08/10/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523Q9-9B-9)
8/10
8/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
8/10
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.8000% DATED 08/03/2011 MATURITY 08/10/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Q9-9B-9)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/10/2011 MATURITY 08/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523U9-9A-6)
8/11
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 08/04/2011 MATURITY 08/11/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523R9-9B-8)
8/11
8/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.7000% DATED 08/04/2011 MATURITY 08/11/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523R9-9B-8)
EFTA01569728
(194.610)
(588,727.780)
(35.25)
(194.61)
588,727.780
35.25
194.61
628,763.730
(219.990)
(628,543.740)
(39.89)
(219.99)
628,543.740
39.89
219.99
Quantity
588,727.780
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 19 of 24
EFTA01569729
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/11
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4000% DATED 08/11/2011 MATURITY 08/18/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523V9-9H-0)
8/17
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/10/2011 MATURITY 08/17/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523U9-9A-6)
8/17
8/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
8/17
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/10/2011 MATURITY 08/17/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523U9-9A-6)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/17/2011 MATURITY 08/24/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Y9-9B-0)
8/18
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4000% DATED 08/11/2011 MATURITY 08/18/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523V9-9H-0)
8/18
8/18
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.4000% DATED 08/11/2011 MATURITY 08/18/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523V9-9H-0)
EFTA01569730
(160.320)
(588,922.390)
(29.78)
(160.32)
588,922.390
29.78
160.32
628,953.230
(189.500)
(628,763.730)
(34.82)
(189.50)
628,763.730
34.82
189.50
Quantity
588,922.390
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 20 of 24
EFTA01569731
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/18
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/18/2011 MATURITY 08/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Z9-9B-9)
8/24
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/17/2011 MATURITY 08/24/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523Y9-9B-0)
8/24
8/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
8/24
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/17/2011 MATURITY 08/24/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Y9-9B-0)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/24/2011 MATURITY 08/31/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2524C9-9F-3)
8/25
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/18/2011 MATURITY 08/25/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2523Z9-9B-9)
8/25
8/25
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/18/2011 MATURITY 08/25/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2523Z9-9B-9)
EFTA01569732
(177.540)
(589,082.710)
(32.70)
(177.54)
589,082.710
32.70
177.54
629,142.790
(189.560)
(628,953.230)
(34.75)
(189.56)
628,953.230
34.75
189.56
Quantity
589,082.710
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 21 of 24
EFTA01569733
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/25
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/25/2011 MATURITY 09/01/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2524D9-9M-7)
8/31
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/24/2011 MATURITY 08/31/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2524C9-9F-3)
8/31
8/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
8/31
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/24/2011 MATURITY 08/31/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2524C9-9F-3)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
1.5500% DATED 08/31/2011 MATURITY 09/07/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2524G9-9J-1)
Total Inflows & Outflows
$0.00
629,332.410
(189.620)
(629,142.790)
(35.31)
(189.62)
629,142.790
35.31
189.62
Quantity
589,260.250
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01569734
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 22 of 24
EFTA01569735
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Contributions
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-432,237.62
$432,237.62
-Year-To-Date
Value*
-432,237.62
$432,237.62
-Local
Value
Current
Period Value
97.73
265,233.41
265,233.41
265,331.14
EFTA01569736
Year-To-Date
Value*
-265,233.41
265,233.41
-Page
23 of 24
EFTA01569737
GHISLAINE MAXWELL ACCT.
For the Period 8/1/11 to 8/31/11
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
8/4
Misc Receipt
Description
REP: GBP RECEIVED FROM CATER ALLEN LTD POUND
STERLING AS OF 08/02/11 (ID: OGBPPR-AA-9)
Quantity
265,233.410
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
432,237.62
265,233.41
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 24 of 24
EFTA01569738
For the Period 8/1/11 to 8/31/11
IMPORTANT INFORMATION ABOUT YOUR STATEMENT(S)
Please take the steps indicated below if you think statements are incorrect
or contact your J.P.Morgan team if you require additional information about
a transaction on your statement(s).
In Case of Errors or Questions About Your Electronic Transfers.
Contact your J.P. Morgan Team at one of the telephone numbers on the front
t J.P. Morgan,
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 statement
on which the error or problem appeared. (1) Tell us your name and account
number. (2) Describe the error 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 will 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 you think is in error, so that you will have the use
of the money during the time it takes us to complete
our investigation.
In Case of Errors or Questions About Non-Electronic Transfers (Checks or
Deposits)
Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a
statement is incorrect or if 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 JPMorgan Chase Bank, N.A.
("JPMCB") Member FDIC.
In case of other errors or questions about your brokerage account statement.
Please review your account statement 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.
Any oral communication should be re-confirmed
in writing to further protect your rights, including your rights under the
Securities Investor 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 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
EFTA01569739
activity and account balance(s) are correct.
Important Information about Pricing and Valuations
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 or other sources
that J.P. Morgan believes to be reliable, is not guaranteed for accuracy and
is furnished for the exclusive use of the client.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or 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.
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.
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 assets may have been provided to us by third
parties who 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.
Disclosures Page 1 of 4
EFTA01569740
For the Period 8/1/11 to 8/31/11
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are derived from proprietary
models based upon well-recognized financial principles and we have, when
necessary to calculate the present value of future cash flows, made
reasonable estimates about relevant future market
conditions. Valuations based on other models or different assumptions may
yield different results. 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.
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.
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. Where J.P. Morgan was unable to obtain a price
from an outside service for a particular ARS, the price
column on your statement and online will indicate "$0.00" which should not
be relied on as the price at which ARS would trade.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American
Century Funds
Shares of the funds are not bank deposits and are not guaranteed by any
bank, government entity, or the FDIC. Return and share price will fluctuate
and redemption value may be more or less than
original cost. While the money market funds seek to maintain a stable net
asset value of $1.00 per share, there is no assurance that they will
continue to do so. The estimated annual income and
dividend yield figures for mutual funds represent the funds' most recent
income dividend annualized.
The distributor of the JPMorgan Funds is JPMorgan Distribution Services,
Inc., which is an affiliate of JPMCB. JPMCB and its affiliates receive
compensation from JPMorgan Funds for providing
services. American Century Investment Services, Inc. is the distributor of
the American Century Funds. American Century Investment Management Inc.
serves as investment advisor to its respective
EFTA01569741
fund family and receives compensation from that fund family for providing
investment advisory and other services.
Shareholders of certain 3PMorgan Funds are charged a redemption fee equal to
2% of the proceeds if they exchange or redeem shares of such funds within 60
days of purchase, subject to certain
exceptions set forth in the prospectus of the applicable Fund. Please
consult your J.P. Morgan representative for a list of the JPMorgan Funds
that impose redemption fees.
Offshore Deposits - London and Nassau
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).
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives 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 files to be complete and accurate.
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, the Private Bank of J.P. Morgan will provide a copy of
the advisor's Form ADV II or brochure upon written
request.
Additional Information About Your Accounts
Disclosures Page 2 of 4
EFTA01569742
For the Period 8/1/11 to 8/31/11
Securities purchased or sold through J.P.Morgan Securities LLC ("JPMS") (1)
other than mutual funds, are cleared through J.P.Morgan Clearing Corp.
("JPMCC"), an affiliate of JPMS, and (2) other
than exchange-listed options and securities held in margin account(s), are
held in your Asset Account at JPMCB. Positions in exchange-listed options
and in margin account(s) are held by JPMCC and
are not delivered to or from your Asset Account. 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 summarized in the
"Trade Activity" portion of the statement(s).
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 commissions and other charges related to the
execution of transactions, including options transactions,
has been included in confirmations that were previously furnished to you.
Upon written request, JPMS will promptly supply you with the latest such
information.
JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMS and JPMCC are
protected by SIPC up to $500,000 per customer, which includes up to $100,000
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.
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.
JPMS, JPMCB or their affiliates (the "J.P. Morgan Companies") may provide
administrative, custodial, sales, distribution or shareholder services to
JPMorgan Funds, American Century Funds, or funds
established, sponsored, advised, or managed by third parties, and the J.P.
Morgan Companies may be compensated for such services.
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
EFTA01569743
request.
Bank products and services are offered through JPMCB and its banking
affiliates. Securities are offered by JPMS and, to the extent noted above,
cleared through JPMCC.
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.
JPMS is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMorgan Chase Bank, N.A. ("JPMCB").
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
IMPORTANT INFORMATION ABOUT ALTERNATIVE INVESTMENTS: FOOTNOTES 1 - 4
Private Equity, Hedge Funds, Exchange Funds, Real Estate and Other
Alternative Assets
1. Direct private equity investments and pooled private investments (e.g.,
interests in limited partnerships and limited liability companies) are
generally illiquid securities. Values are estimates only and
are not warranted for accuracy or completeness. Values do not represent the
actual terms at which transactions or securities could be bought or sold or
new transactions could be entered into or the
actual terms on which existing transactions could be liquidated as of the
date of this statement.
Disclosures Page 3 of 4
EFTA01569744
For the Period 8/1/11 to 8/31/11
Direct private equity investments are generally valued at cost, unless there
is an active secondary trading market in the securities, in which case,
direct private equity investments are valued using market
prices as of the close of the last business day for this statement period.
Pooled private equity investments are valued according to the General
Partner's or Manager's stated methodology. Please refer
to the limited partnership agreement, limited liability company agreement or
other operative documentation for each investment for the specific valuation
methodology used by the General Partner or
Manager for that investment. J.P. Morgan expressly disclaims any
responsibility for (1) the accuracy of the information and the methodology
used by the General Partner or Manager in deriving
valuations, (2) any errors or omissions in compiling or disseminating the
valuations, and (3) any use to which the valuations are put. Valuations are
provided for information purposes only and are
intended solely for your own use.
Hedge funds generally calculate the price (the "Net Asset Value" or " NAV"),
10-15 business days following the last business day of the month. For that
reason, hedge fund NAVs shown will generally be
the NAV of the month preceding this statement period. In general, the NAV is
stated net of management and incentive fees. The NAV is calculated according
to the General Partner's or Manager's
stated methodology. Please refer to the limited partnership agreement,
limited liability company agreement or other operative documentation for
each hedge fund for the specific methodology used by
the General Partner or Manager for that hedge fund. J.P. Morgan expressly
disclaims any responsibility for (1) the accuracy of the information and the
methodology used by the General Partner or
Manager in deriving valuations, (2) any errors or omissions in compiling or
disseminating the valuations, and (3) any use to which the valuations are
put. Valuations are provided for information
purposes only and are intended solely for your own use.
These statements do not provide tax reporting on private investments. Please
continue to rely upon the General Partner or Manager of the investment
vehicle for this information.
2. The 'Capital Called Since Inception USD' and "Cash/Security distributions
Since Inception USD' columns are updated monthly to reflect activity
(capital calls and distributions), if any.
3. Hedge funds generally allow subscriptions on a monthly or quarterly
basis. Your interest in a hedge fund or hedge fund of funds is generally as
of the first business day of the subscription period. Due
to early funding requirements by the applicable fund, your account may be
debited for the subscription amount prior to the subscription date. Please
refer to the applicable hedge fund's operative
documentation for further details.
Hedge fund redemptions are generally on a monthly, quarterly or annual basis
but can sometimes be subject to a multi-year lockup before a redemption is
permitted. For redemptions, there is generally
a notification period that can be a long interval before the actual
redemption date. Redemption proceeds are generally paid 15 calendar days
EFTA01569745
after the final NAV is issued, but can be subject to a
holdback of a portion of the proceeds until an annual audit of the Fund has
been completed. Please refer to the applicable hedge fund's operative
documentation for further details.
Global Access Portfolios share certain characteristics with hedge funds. In
particular, an investor who withdraws from a Global Access Portfolio will
not receive the withdrawal proceeds in their entirety
until 30-60 days after completion of the Portfolio's audit, which may be 18
months or longer after the redemption date. Interest may not be paid on any
proceeds pending distribution. These restrictions
apply even if the investor's account at JPMorgan is closed. The Confidential
Private Placement Memorandum and applicable Supplements contain other
important information about the Global Access
Portfolios and are available upon request.
4. Alternative assets may include publicly available mutual funds that
utilize non-traditional investment management strategies, for example,
strategies commonly employed by hedge funds. Mutual
funds generally calculate the price (the "Net Asset Value" or "NAV") on a
daily basis and mutual fund NAVs shown on your statement generally will be
the NAV as of the close of the last business day for
this statement period. Please refer to the applicable mutual fund prospectus
for further details. If the applicable mutual fund is a JPMorgan Fund,
please refer to disclosures on this statement concerning
JPMorgan Funds for other important information.
Disclosures Page 4 of 4
EFTA01569746
ℹ️ Document Details
SHA-256
732fa0767dc901c5e1acfa91e0ae5a8e4f96710df5fb3b4df67eb29ccd0a47d3
Bates Number
EFTA01569693
Dataset
DataSet-10
Document Type
document
Pages
54
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