EFTA01572619.pdf

GHISLAINE MAXWELL EFTA01572619 EFTA01572620 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL- OAP FDG 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 10/1/12 to 10/31/12 Investment Management Account J.P. Morgan Team Paul Morris Jason Bell Janet Young Gina Magliocco Online access Banker Investment Specialist Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Equity Cash & Fixed Income Portfolio Activity 4 7 9 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before December 1, 2012. This will allow us to process your request before year-end and meet the deadline for tax filing purposes. 0000002385.00.0.9E.00001.MAXWE04.20121102 Page 1 of 15 EFTA01572621 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 176,450.47 4,184.20 $180,634.67 178.78 $180,813.45 Ending Market Value 176,822.04 2,473.23 $179,295.27 369.05 $179,664.32 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 180,634.67 (498.04) ($498.04) 178.78 (1,020.14) $179,295.27 369.05 $179,664.32 Change In Value 371.57 (1,710.97) ($1,339.40) 190.27 ($1,149.13) Year-to-Date Value EFTA01572622 165,408.94 (1,897.50) ($1,897.50) 4,384.97 11,398.86 $179,295.27 369.05 $179,664.32 Estimated 5,873.55 0.22 Current Annual Income Allocation 99% 1% $5,873.77 100% Cash & Fixed Income Asset Allocation Equity Page 2 of 15 EFTA01572623 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 178.74 0.04 $178.78 Year-to-Date Value 4,384.43 0.54 $4,384.97 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value 1,312.17 $1,312.17 Year-to-Date Value 1,880.98 1,940.84 $3,821.82 Unrealized Gain/Loss To-Date Value $21,778.07 Cost Summary Equity Cash & Fixed Income Total 2,473.23 Cost 155,043.97 $157,517.20 Page 3 of 15 EFTA01572624 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Equity Summary Asset Categories US Large Cap Equity Beginning Market Value 176,450.47 Ending Market Value 176,822.04 Change In Value 371.57 Current Allocation 99% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Note: P indicates position adjusted for Pending Trade Activity. Equity Detail Price US Large Cap Equity ANALOG DEVICES INC 032654-10-5 ADI AUTOMATIC DATA PROCESSING INC 053015-10-3 ADP 57.79 150.000 8,668.50 7,264.05 1,404.45 237.00 2.73% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value EFTA01572625 176,822.04 155,043.97 21,778.07 5,873.55 369.02 3.32% 39.12 206.000 8,058.93 7,138.40 920.53 247.20 3.07% Page 4 of 15 EFTA01572626 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Price US Large Cap Equity BAXTER INTERNATIONAL INC BLACKROCK INC CHEVRON CORP 071813-10-9 BAX 189.68 09247X-10-1 BLK 110.24 166764-10-0 CVX CLIFFS NATURAL RESOURCES INC COLGATE PALMOLIVE CO CONOCOPHILLIPS GENERAL MILLS INC 18683K-10-1 CLF 104.96 194162-10-3 CL 57.85 20825C-10-4 COP 40.08 370334-10-4 GIS HONEYWELL INTERNATIONAL INC ILLINOIS TOOL WORKS INC JOHNSON & JOHNSON LOCKHEED MARTIN CORP MC DONALDS CORP NEXTERA ENERGY INC 438516-10-6 HON 61.33 452308-10-9 ITW 70.82 478160-10-4 JNJ 93.67 539830-10-9 LMT 86.80 580135-10-1 MCD 70.06 65339F-10-1 NEE Page 5 of 15 137.000 9,598.22 7,254.34 2,343.88 328.80 3.43% 98.000 8,506.40 8,329.79 176.61 EFTA01572627 301.84 3.55% 102.000 9,554.34 7,330.98 2,223.36 469.20 4.91% 126.000 8,923.32 7,863.57 1,059.75 307.44 3.45% 138.000 8,463.54 6,498.07 1,965.47 209.76 2.48% 61.24 145.000 8,879.80 7,124.46 1,755.34 196.000 7,855.68 7,105.54 750.14 151.000 8,735.35 7,956.76 778.59 89.000 9,341.44 7,413.85 1,927.59 220.72 55.18 398.64 99.66 258.72 64.68 237.80 2.36% 4.56% 3.29% 2.68% 36.27 130.000 4,715.10 EFTA01572628 5,200.52 (485.42) 325.00 6.89% 81.000 8,929.52 7,927.41 1,002.11 291.60 3.27% 44.000 8,345.92 8,306.90 39.02 264.00 3.16% 62.63 149.000 9,331.87 7,720.85 1,611.02 268.20 2.87% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01572629 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Price US Large Cap Equity P PEPSICO INC 713448-10-8 PEP P P PROCTER & GAMBLE CO RAYTHEON CO STAPLES INC 742718-10-9 PG 56.56 755111-50-7 RTN 11.52 855030-10-2 SPLS P THE TRAVELERS COMPANIES INC. WALGREEN CO XILINX CORP 89417E-10-9 TRV 35.23 931422-10-9 WAG 32.77 983919-10-1 XLNX Total US Large Cap Equity $176,822.04 $155,043.97 $21,778.07 $5,873.55 $369.02 3.32% 167.000 5,472.59 5,809.08 (336.49) 146.96 2.69% 268.000 9,441.64 8,778.72 662.92 294.80 3.12% 70.94 122.000 8,654.68 7,812.62 842.06 224.48 EFTA01572630 2.59% 241.000 2,775.12 2,744.63 30.49 93.000 5,260.08 3,886.02 1,374.06 69.24 121.000 8,378.04 7,274.91 1,103.13 272.00 68.00 186.00 81.50 106.04 3.25% 3.54% 3.82% 69.24 129.000 8,931.96 8,302.50 629.46 277.35 3.11% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 6 of 15 EFTA01572631 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 4,184.20 Ending Market Value 2,473.23 Change In Value (1,710.97) Current Allocation 1% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 2,473.23 2,473.23 0.22 0.03 SUMMARY BY TYPE Market Value 2,473.23 % of Bond Portfolio 100% The years indicate the number of years until the bond is scheduled to mature based on the statement end date. Some bonds may be called, or paid in full, before their stated maturity. Cash & Fixed Income Cash Market Value 2,473.23 % of Bond Portfolio EFTA01572632 100% Page 7 of 15 EFTA01572633 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Note: 1 This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Cash & Fixed Income Detail Price Cash US DOLLAR COST OF PENDING PURCHASES PROCEEDS FROM PENDING SALES Total Cash 1.00 1.00 1.00 2,239.72 (275.16) 508.67 2,239.72 (275.16) 508.67 $2,473.23 2,239.72 (275.16) 508.67 $2,473.23 $0.00 $0.22 $0.03 0.01% 0.22 0.03 0.01% 1 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 8 of 15 EFTA01572634 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 10,502.94 (12,128.16) ($1,625.22) $2,239.72 * 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 44,719.01 (50,311.26) ($5,592.25) -Current Period Value 4,184.20 178.78 $178.78 (498.04) ($498.04) Year-To-Date Value* -4,384.97 $4,384.97 (1,897.50) ($1,897.50) Current Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* (157.08) EFTA01572635 ($157.08) Page 9 of 15 EFTA01572636 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 10/1 10/1 10/1 10/10 Div Domest Interest Income Div Domest Div Domest Total Income Type Settle Date Selection Method Fees & Commissions 10/23 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 07-01-2012 TO 09-30-2012 Quantity Cost Description BAXTER INTERNATIONAL INC @ 0.45 PER SHARE (ID: 071813-10-9) DEPOSIT SWEEP INTEREST FOR SEPT @ .01% RATE ON NET AVG COLLECTED BALANCE OF $4,508.90 AS OF 10/01/12 AUTOMATIC DATA PROCESSING INC @ 0.395 PER SHARE (ID: 053015-10-3) ILLINOIS TOOL WORKS INC @ 0.38 PER SHARE (ID: 452308-10-9) 150.000 138.000 0.395 0.38 59.25 52.44 $178.78 Quantity Cost 149.000 Per Unit Amount 0.45 Amount 67.05 0.04 EFTA01572637 Amount (498.04) Page 10 of 15 EFTA01572638 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 TRADE ACTIVITY Note: Trade Date Settle Date 10/5 10/5 10/11 10/5 10/11 10/8 10/11 10/8 10/11 10/9 10/12 10/9 10/12 10/9 10/12 10/10 10/15 L indicates Long Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 10/11 High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost INTEL CORP @ 22.6955 45.39 BROKERAGE 0.04 TAX &/OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 458140-10-0) INTEL CORP @ 22.7732 819.84 BROKERAGE 0.72 TAX &/OR SEC .02 JEFFERIES & COMPANY EFTA01572639 (ID: 458140-10-0) INTEL CORP @ 22.7647 1,411.41 BROKERAGE 1.24 TAX &/OR SEC .03 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 22.4882 472.25 BROKERAGE 0.42 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 458140-10-0) INTEL CORP @ 22.491 472.31 BROKERAGE 0.42 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 21.9327 745.71 BROKERAGE 0.68 TAX &/OR SEC .02 JEFFERIES & COMPANY (ID: 458140-10-0) INTEL CORP @ 21.9399 1,426.09 BROKERAGE 1.30 TAX &/OR SEC .03 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 21.9722 65.92 BROKERAGE 0.06 TAX &/OR SEC .01 DEUTSCHE BANC ALEX BROWN INC (ID: 458140-10-0) INTEL CORP @ 21.8615 306.06 BROKERAGE 0.28 TAX &/OR SEC .01 JEFFERIES & COMPANY (ID: 458140-10-0) Page 11 of 15 (14.000) 21.841 305.77 (296.40) 9.37 L (3.000) 21.95 65.85 (63.51) 2.34 L (65.000) 21.919 1,424.76 (1,376.13) 48.63 L (34.000) 21.912 745.01 (719.82) 25.19 L (21.000) 22.47 471.88 (444.60) 27.28 L (21.000) 22.468 471.82 EFTA01572640 (444.60) 27.22 L (62.000) 22.744 1,410.14 (1,312.61) 97.53 L (36.000) 22.753 819.10 (762.16) 56.94 L Quantity (2.000) Per Unit Amount 22.67 Proceeds 45.34 Tax Cost (42.34) Realized Gain/Loss 3.00 L EFTA01572641 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Trade Date Settle Date 10/10 10/15 10/10 10/15 10/24 10/29 10/25 10/30 10/25 10/30 10/26 10/31 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost INTEL CORP @ 21.867 590.41 BROKERAGE 0.54 TAX &/OR SEC .01 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 458140-10-0) INTEL CORP @ 21.7734 762.07 BROKERAGE 0.70 TAX &/OR SEC .02 DEUTSCHE BANC ALEX BROWN INC (ID: 458140-10-0) RAYTHEON CO @ 55.5349 833.02 BROKERAGE 0.30 TAX &/OR SEC .02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 755111-50-7) RAYTHEON CO @ 55.6419 1,557.97 BROKERAGE 0.56 TAX &/OR SEC .03 CREDIT SUISSE FIRST BOSTON LLC (ID: 755111-50-7) RAYTHEON CO @ 55.5108 277.55 BROKERAGE 0.10 TAX &/OR SEC .01 LIQUIDNET INC (ID: 755111-50-7) RAYTHEON CO @ 55.7554 724.82 BROKERAGE 0.26 TAX &/OR SEC .02 GOLDMAN SACHS & CO. (ID: 755111-50-7) Total Settled Sales/Maturities/Redemptions $10,502.94 ($9,322.81) EFTA01572642 $1,180.13 L (5.000) (13.000) 55.488 55.734 277.44 724.54 (209.24) (544.02) 68.20 L 180.52 L (28.000) 55.621 1,557.38 (1,171.73) 385.65 L (15.000) 55.513 832.70 (627.72) 204.98 L (35.000) 21.753 761.35 (736.31) 25.04 L Quantity (27.000) Per Unit Amount 21.847 Proceeds 589.86 Tax Cost (571.62) Realized Gain/Loss 18.24 L Trade Date Settle Date Type Description Settled Securities Purchased 10/5 Purchase 10/11 BLACKROCK INC @ 187.7991 563.40 BROKERAGE 0.06 CITIGROUP GLOBAL MKTS INC (ID: 09247X-10-1) Quantity 3.000 Per Unit EFTA01572643 Amount 187.82 Market Cost (563.46) Page 12 of 15 EFTA01572644 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Trade Date Settle Date Type Settled Securities Purchased 10/5 Purchase 10/11 10/5 10/11 10/8 10/11 10/9 10/12 10/9 10/12 10/10 10/15 10/10 10/15 10/10 10/15 10/24 10/29 10/24 10/29 10/24 10/29 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description BLACKROCK INC @ 189.9124 1,329.39 BROKERAGE 0.14 MORGAN STANLEY & CO. INCORPORATED (ID: 09247X-10-1) BLACKROCK INC @ 186.651 373.30 BROKERAGE 0.04 CITIGROUP GLOBAL MKTS INC (ID: 09247X-10-1) BLACKROCK INC @ 188.7638 1,510.11 BROKERAGE 0.16 MORGAN STANLEY & CO. INCORPORATED (ID: 09247X-10-1) BLACKROCK INC @ 189.1659 2,837.49 BROKERAGE 0.30 CITIGROUP GLOBAL MKTS INC (ID: 09247X-10-1) BLACKROCK INC @ 188.9782 377.96 BROKERAGE 0.06 EFTA01572645 DEUTSCHE BANC ALEX BROWN INC (ID: 09247X-10-1) BLACKROCK INC @ 187.7013 563.10 BROKERAGE 0.06 CITIGROUP GLOBAL MKTS INC (ID: 09247X-10-1) BLACKROCK INC @ 187.6394 375.28 BROKERAGE 0.06 CITIGROUP GLOBAL MKTS INC (ID: 09247X-10-1) BLACKROCK INC @ 187.975 375.95 BROKERAGE 0.04 IVY SECURITIES, INC. (ID: 09247X-10-1) XILINX CORP @ 32.5031 97.51 BROKERAGE 0.06 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 983919-10-1) PEPSICO INC @ 68.6714 68.67 BROKERAGE 0.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 713448-10-8) STAPLES INC @ 11.335 11.34 BROKERAGE 0.02 LIQUIDNET INC (ID: 855030-10-2) 1.000 11.36 (11.36) 1.000 68.69 (68.69) 15.000 2.000 3.000 2.000 2.000 3.000 189.186 189.01 187.72 187.67 187.995 32.523 (2,837.79) (378.02) (563.16) (375.34) (375.99) (97.57) 2.000 8.000 186.67 188.784 (373.34) (1,510.27) Quantity 7.000 Per Unit Amount 189.933 Market Cost EFTA01572646 (1,329.53) Page 13 of 15 EFTA01572647 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Trade Date Settle Date Type Settled Securities Purchased 10/24 Purchase 10/30 10/25 10/30 10/25 10/30 10/25 10/30 10/25 10/30 10/25 10/30 10/25 10/31 10/25 10/31 10/26 10/31 10/26 10/31 10/26 10/31 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Total Settled Securities Purchased Description STAPLES INC @ 11.2934 711.48 BROKERAGE 1.26 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 855030-10-2) STAPLES INC @ 11.41 91.28 BROKERAGE 0.16 RBC CAPITAL MARKETS CORPORATION (ID: 855030-10-2) CLIFFS NATURAL RESOURCES INC @ 38.4765 115.43 BROKERAGE 0.06 CREDIT SUISSE FIRST BOSTON LLC (ID: 18683K-10-1) CLIFFS NATURAL RESOURCES INC @ 38.4765 500.19 BROKERAGE 0.26 CREDIT SUISSE FIRST BOSTON LLC EFTA01572648 (ID: 18683K-10-1) PEPSICO INC @ 68.7887 137.58 BROKERAGE 0.04 CREDIT SUISSE FIRST BOSTON LLC (ID: 713448-10-8) XILINX CORP @ 32.5027 162.51 BROKERAGE 0.10 CREDIT SUISSE FIRST BOSTON LLC (ID: 983919-10-1) STAPLES INC @ 11.3908 523.98 BROKERAGE 1.38 RBC CAPITAL MARKETS CORPORATION (ID: 855030-10-2) STAPLES INC @ 11.3711 648.15 BROKERAGE 1.14 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) PEPSICO INC @ 68.8675 68.87 BROKERAGE 0.02 GOLDMAN SACHS & CO. (ID: 713448-10-8) STAPLES INC @ 11.3804 580.40 BROKERAGE 1.02 GOLDMAN SACHS & CO. (ID: 855030-10-2) XILINX CORP @ 32.7583 98.27 BROKERAGE 0.06 GOLDMAN SACHS & CO. (ID: 983919-10-1) 2.000 5.000 46.000 57.000 1.000 51.000 3.000 68.81 32.522 11.421 11.391 68.89 11.40 32.777 (137.62) (162.61) (525.36) (649.29) (68.89) (581.42) (98.33) ($12,128.16) 13.000 38.496 (500.45) 8.000 3.000 11.43 38.497 (91.44) (115.49) Quantity 63.000 Per Unit Amount 11.313 EFTA01572649 Market Cost (712.74) Page 14 of 15 EFTA01572650 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/12 to 10/31/12 Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 10/31 11/5 10/31 11/5 Total Pending Sales, Maturities, Redemptions $508.67 ($376.63) $132.04 L Sale RAYTHEON CO (ID: 755111-50-7) RAYTHEON CO (ID: 755111-50-7) Quantity (2.000) (7.000) Per Unit Amount 56.412 56.578 Proceeds 112.77 395.90 Tax Cost (83.70) (292.93) Realized Gain/Loss 29.07 L 102.97 L Trade Date Est. Settle Date Type Pending Securities Purchased 10/31 Purchase 11/5 10/31 11/5 10/31 11/5 10/31 11/5 Total Pending Securities Purchased ($275.16) Purchase Purchase EFTA01572651 Purchase Description PEPSICO INC (ID: 713448-10-8) STAPLES INC (ID: 855030-10-2) XILINX CORP (ID: 983919-10-1) STAPLES INC (ID: 855030-10-2) Quantity 1.000 12.000 1.000 3.000 Per Unit Amount 69.35 11.507 32.746 11.547 Market Cost (69.37) (138.32) (32.77) (34.70) Page 15 of 15 EFTA01572652 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01572653 For the Period 10/1/12 to 10/31/12 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in one package. Below are important disclosures relating to these different accounts. These statements may relate to various account types. Some of the disclosures are applicable to all of your accounts. For ease of reference the disclosures applicable to a particular type of account have been grouped together by descriptive headers. IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S) Important Information about Pricing ,Valuations, Estimated Annual Income, and Estimated Yield Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein, some of which has been provided by pricing sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy but provided for informational purposes and is furnished for the exclusive use of the client. The current price is the value of the financial asset share, unit or contract as priced at the close of the market on the last day of the statement period or the last available price. All values provided for structured yield deposits (for example, JPMorgan London Time Deposits) reflect the original deposit amount only. The value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically in an auction. Although there may be daily, weekly and monthly resets, there is no guarantee that there will be liquidity. If there are not enough bids at an auction to redeem the securities available for sale, the result may be a failed auction. In the event of a failed auction, there is no assurance that a secondary market will develop or that the security will trade at par or any other price reflected on statements and online. Accordingly, investors should not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. Morgan is unable to obtain a price from an internal or outside source for a particular ARS, the price column on your statement will indicate "unpriced". Valuations of over-the-counter derivative transactions, including certain derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the models or estimates used in deriving the valuations, (2) any errors or omissions in computing or disseminating the valuations, and (3) any uses to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. Please refer to the trade confirmation for details of each transaction. Certain assets, including but not limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been provided to us by third EFTA01572654 parties who may or may not be independent of the issuer or manager. Such information is reflected as of the last date provided to us, and is not independently verified. In cases where we are unable to obtain a current market value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". Although such securities may have value, please note that the value of a security indicated as "unpriced" will not be included in your overall current market value as reflected on the statement. J.P. Morgan makes no representation, warranty or guarantee, express or implied, that any quoted value represents the actual terms at which securities could be bought or sold or new transactions could be entered into, or the actual terms on which existing transactions or securities could be liquidated. Such values may only be indicative. When we are unable to obtain a current value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". If a partial call is made with respect to an issue of securities included in your Accounts we will allocate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and estimated yield (EY): EAI and EY for certain types of securities could include a return of principal or capital gains in which case the EAI and EY would be overstated. EAI and EY are estimates and the actual income and yield might be lower or higher than the estimated amounts. EY reflects only the income generated by an investment. It does not reflect changes in its price, which may fluctuate. Offshore Deposits - London and Nassau Disclosures Page 1 of 2 EFTA01572655 For the Period 10/1/12 to 10/31/12 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Government; amounts in such foreign accounts do not have the benefit of any domestic preference applicable to U.S Banks; certain Foreign accounts are considered reportable to the Internal Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to JPMCB at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights. If you have any questions please contact your J.P. Morgan team. In your written communication, please provide the following information: (1) your name and account number; (2) the dollar amount of the suspected error; and (3) a description of the error and explanation, if you can, why you believe there is an error. If you need more information, you must describe the item you are unsure about. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to EFTA01572656 modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. Disclosures Page 2 of 2 EFTA01572657