📄 Extracted Text (16,949 words)
GHISLAINE MAXWELL
EFTA01570018
EFTA01570019
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
For the Period 12/1/11 to 12/31/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Gina Magliocco
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Online access
www.MorganOnline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Page
2
4
13
14
21
22
Client News
2011 Year End Tax 1099's
You will be able to view your 2011 Form 1099 on Morgan
Online beginning Feb 24, 2012. You should expect to
receive them via mail shortly thereafter. You may contact
your J.P. Morgan Team with any questions.
0000000138.15.0.15.00003.MAXWE00.20120118
Page 1 of 77
EFTA01570020
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,546,365.33
48,724.00
3,282,112.87
84,786.97
$4,961,989.17
20,212.45
$4,982,201.62
Ending
Market Value
1,414,900.54
44,424.00
3,383,938.21
83,641.54
$4,926,904.29
27,584.20
$4,954,488.49
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
4,961,989.17
3,778.05
(47,293.99)
3,745,502.39
(3,699,828.42)
$2,158.03
1,616.67
(38,859.58)
EFTA01570021
$4,926,904.29
27,584.20
$4,954,488.49
Change
In Value
(131,464.79)
(4,300.00)
101,825.34
(1,145.43)
($35,084.88)
7,371.75
($27,713.13)
Equity
Year-to-Date
Value
1,946,279.39
1,153,750.21
(200,711.51)
20,434,796.16
(18,838,037.86)
$2,549,797.00
86,194.91
344,632.99
$4,926,904.29
27,584.20
$4,954,488.49
Estimated
50,711.46
57,420.00
$108,131.46
Current
Annual Income Allocation
30%
1%
67%
2%
100%
Other
Alternative
Assets
Asset Allocation
Cash &
Fixed Income
Page 2 of 77
EFTA01570022
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Accrued Interest Current Year
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Accrued Interest Subsequent Year
Tax-Exempt Income
CONTINUED
Current
Period Value
1,249.12
1,142.70
(1,211.58)
436.43
$1,616.67
Year-to-Date
Value
10,898.15
1,248.47
(1,193.78)
84,208.49
(9,218.37)
$85,942.96
2,866.67
(17.50)
(2,597.22)
$251.95
Unrealized Gain/Loss
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(256.02)
($256.02)
Year-to-Date
Value
22,224.68
(29,459.16)
($7,234.48)
To-Date Value
($565,908.06)
Cost Summary
Equity
EFTA01570023
Cost
Cash & Fixed Income
Other
Total
1,772,327.38
3,525,749.23
90,364.18
$5,388,440.79
Page 3 of 77
EFTA01570024
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Unclassified
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Note:
**
Beginning
Market Value
283,435.07
5,010.00
501,612.46
404,636.00
192,845.50
158,826.30
$1,546,365 33
Ending
Market Value
226,931.66
4,440.00
431,810.63
409,576.00
193,953.50
148,188.75
$1,414,900.54
Current
Period Value
1,414,900.54
1,772,327.38
(397,788.37)
50,711.46
6,418.96
3.57%
US Large Cap Equity
Equity as a percentage of your portfolio - 30 %
Change
In Value
(56,503.41)
EFTA01570025
(570.00)
(69,801.83)
4,940.00
1,108.00
(10,637.55)
($131,464.79)
Current
Allocation
5%
1%
9%
8%
4%
3%
30%
Concentrated & Other Equity
Preferred Stocks
Non-US Equity
Asset Categories
US Small/Mid Cap Equity
Unclassified
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.
Equity Detail
Page 4 of 77
EFTA01570026
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
US Large Cap Equity
APACHE CORP
AT&T INC
00206R-10-2 T
BANK OF AMERICA CORP
BB & T CORP
BROADCOM CORP
060505-10-4 BAC
25.17
054937-10-7 BBT
29.36
CL A
111320-10-7 BRCM
CHEVRON CORP
CITIGROUP INC NEW
166764-10-0 CVX
26.31
172967-42-4 C
COGNIZANT TECHNOLOGY SOLUTIONS CORP
CL A
192446-10-2 CTSH
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
JOHNSON CONTROLS INC
KROGER CO
263534-10-9 DD
21.54
268648-10-2 EMC
31.26
478366-10-7 JCI
24.22
501044-10-1 KR
265.000
6,418.30
6,587.16
(168.86)
301.000
9,409.26
11,324.21
(1,914.95)
216.72
54.18
121.90
2.30%
1.90%
468.000
10,080.72
12,378.64
EFTA01570027
(2,297.92)
45.78
224.000
10,254.72
11,537.62
(1,282.90)
367.36
3.58%
64.31
102.000
6,559.62
7,275.16
(715.54)
358.000
9,418.98
14,048.52
(4,629.54)
14.32
0.15%
106.40
116.000
12,342.40
11,819.95
522.45
375.84
3.05%
250.000
7,340.00
8,321.78
(981.78)
90.00
1.23%
309.000
7,777.53
8,123.21
(345.68)
197.76
2.54%
5.56
944.000
5,248.64
10,148.85
(4,900.21)
37.76
0.72%
90.58
037411-10-5 APA
30.24
1,000.000
30,240.00
31,610.00
EFTA01570028
(1,370.00)
1,760.00
5.82%
95.000
8,605.10
11,403.30
(2,798.20)
57.00
0.66%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 5 of 77
EFTA01570029
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
US Large Cap Equity
OCCIDENTAL PETROLEUM CORP
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
QUALCOMM INC
SCHLUMBERGER LTD
TIME WARNER INC
674599-10-5 OXY
19.29
74347R-88-3 SDS
45.13
74347X-23-7 QID
54.70
747525-10-3 QCOM
68.31
806857-10-8 SLB
36.14
NEW
887317-30-3 TWX
UNION PACIFIC CORP
UNITED TECHNOLOGIES CORP
WALT DISNEY CO
WELLS FARGO & CO
Total US Large Cap Equity
907818-10-8 UNP
73.09
913017-10-9 UTX
37.50
254687-10-6 DIS
27.56
949746-10-1 WFC
$226,931.66
$284,989.42
($67,684.96)
$4,718.46
$351.47
2.08%
478.000
13,173.68
13,224.13
(50.45)
229.000
8,587.50
9,015.40
(427.90)
137.40
137.40
229.44
EFTA01570030
1.60%
1.74%
162.000
11,840.58
13,783.83
(1,943.25)
0.00
65.40
311.04
2.63%
290.000
10,480.60
10,196.64
283.96
113.000
7,719.03
9,524.04
(1,805.01)
113.00
28.25
272.60
1.46%
2.60%
176.000
9,627.20
N/A **
N/A
151.36
1.57%
200.000
9,026.00
26,203.50
(17,177.50)
1,000.000
19,289.00
44,809.50
(25,520.50)
93.70
144.000
13,492.80
13,653.98
(161.18)
264.96
66.24
1.96%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
EFTA01570031
Est. Annual Inc.
Accrued Div.
Yield
Page 6 of 77
EFTA01570032
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
AKZO NOBEL N V
ISIN NL0000009132/SEDOL 5458314
N01803-90-2 EUR
ALLIANZ SE HOLDING
ISIN DE0008404005 SEDOL 5231485
D03080-90-6 EUR
ATLAS COPCO AB-A SHS
ISIN SE0000101032 SEDOL B1QGR41
W10020-92-8 SEK
AVIVA PLC
ISIN GB0002162385 SEDOL 0216238
G2307K-92-2 GBP
BAYER AG REGISTERED SHS
ISIN DE000BAY0017 SEDOL 5069211
072733-91-8 EUR
CAP GEMINI S A
ISIN FR0000125338 SEDOL 4163437
F13587-92-2 EUR
CENTRICA
ISIN GB00B033F229 SEDOL B033F22
15639K-90-4 GBP
4.50
1,556.000
6,995.79
7,922.75
(926.96)
31.34
217.000
6,801.61
11,437.04
(4,635.43)
63.87
163.000
10,410.64
13,056.92
(2,646.28)
4.67
6,000.000
28,048.39
38,037.94 **
N/A
21.59
442.000
9,542.40
EFTA01570033
10,669.62
(1,127.22)
95.32
77.000
7,339.58
10,206.94
(2,867.36)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.48
3,000.000
4,440.00
18,129.32
(13,689.32)
48.50
149.000
7,226.33
9,781.64
(2,555.31)
Page 7 of 77
EFTA01570034
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-US Equity
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
COVIDIEN PLC NEW
CREDIT SUISSE GROUP AG
G2554F-11-3 COV
23.60
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
DRAX GROUP PLC
ISIN GBOOB1VNSX38 SEDOL BlVNSX3
G2904K-92-9 GBP
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
JAPAN TOBACCO INC
ISIN JP3726800000 SEDOL 6474535
J27869-91-6 JPY
JFE HOLDINGS INC
ISIN JP3386030005 SEDOL 6543792
476990-91-6 JPY
MARINE HARVEST ASA
ISIN N00003054108 SEDOL B02L486
693045-91-6 NOK
MARKS & SPENCER PLC - GBP
ISIN GB0031274896 SEDOL 3127489
G5824M-92-5 GBP
4.83
4,350.000
21,024.64
26,287.24
(5,262.60)
412.31
Page 8 of 77
0.43
25,000.000
10,832.85
163,464.66
(152,631.81)
18.12
200.000
3,623.60
5,219.70
(1,596.10)
EFTA01570035
4,704.96
2.000
9,409.93
8,930.02
479.91
27.42
289.000
7,923.49
9,914.97
(1,991.48)
10.27
793.000
8,143.65
10,052.84
(1,909.19)
8.47
5,300.000
44,890.17
39,607.69
5,282.48
230.000
5,428.40
8,916.46
(3,488.06)
45.01
236.000
10,622.36
11,860.03
(1,237.67)
212.40
2.00%
3.19
4,500.000
14,354.06
16,168.92
(1,814.86)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01570036
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-US Equity
MARSTON'S PLC
ISIN GBOOB1JODM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
MITSUI & CO
ISIN JP3893600001 SEDOL 6597302
J43787-91-0 JPY
NISSAN MOTOR CO LTD
ISIN JP3672400003 SEDOL 6642860
J57160-91-3 JPY
PHILIPS ELECTRONICS N.V.
ISIN NL0000009538 SEDOL 5986622
N6983Q-91-5 EUR
PPR SA
ISIN FR0000121485 SEDOL 5505072
F74953-93-0 EUR
QBE INSURANCE GROUP LTD
ISIN A0000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
RESEARCH IN MOTION LIMITED
RIO TINTO PLC
760975-10-2 RIMM
48.57
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
Page 9 of 77
1.63
23,800.000
38,910.93
48,596.10
(9,685.17)
191.000
9,276.03
12,954.00
(3,677.97)
14.50
800.000
11,600.00
69,825.00
(58,225.00)
13.28
400.000
EFTA01570037
5,310.54
7,237.30
(1,926.76)
143.64
38.000
5,458.33
N/A **
N/A
21.13
337.000
7,122.12
N/A **
N/A
328.10
3.55%
8.99
1,200.000
10,792.83
12,254.65
(1,461.82)
15.56
500.000
7,778.79
8,640.50
(861.71)
4.25
1,400.000
5,950.09
6,697.36
(747.27)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.43
30,000.000
42,776.58
48,127.99
(5,351.41)
1,722.65
EFTA01570038
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-US Equity
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
SHISEIDO COMPANY LIMITED
ISIN JP3351600006 SEDOL 6805265
824841-91-0 JPY
SOLVAY SA
ISIN BE0003470755 SEDOL 4821100
834437-91-5 EUR
STANDARD CHARTERED PLC
ORD U$ 0.50
ISIN GB0004082847 SEDOL 0408284
G84228-92-6 GBP
STORA ENSO OYJ
R SHS
ISIN FI0009005961 SEDOL 5072673
X21349-90-1 EUR
SUN HUNG KAI PROPERTIES
ISIN HK0016000132 SEDOL 6859927
Y82594-12-1 SHKP HKD
UNILEVER PLC
ISIN GBOOB1ORZP78 SEDOL B1ORZP7
904767-91-0 GBP
33.62
299.000
10,050.94
9,467.44
583.50
12.53
1,000.000
12,534.44
15,082.81
(2,548.37)
617.14
6.01
933.000
5,605.31
9,050.23
(3,444.92)
21.90
555.000
12,152.98
14,171.09
(2,018.11)
EFTA01570039
82.64
77.000
6,363.30
8,750.42
(2,387.12)
18.39
400.000
7,356.38
7,325.88
30.50
52.81
164.000
8,660.63
N/A **
N/A
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
73.67
156.000
11,492.52
11,779.77
(287.25)
Page 10 of 77
EFTA01570040
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-US Equity
VODAFONE GROUP PLC
ISIN GBOOB16GWD56 SEDOL B16GWD5
92857W-92-8 GBP
Total Non-US Equity
$431,810.63
$691,495.92
($270,936.82)
0.00
260.61
$540.50
$3,012.71
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /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
25.52
2,500.000
63,800.00
$409,576.00
62,500.00
$422,578.96
1,300.00
($13,002.96)
4,187.50
1,046.88
$31,227.50
$1,046.88
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
6.56%
7.63%
20.28
4,200.000
85,176.00
98,778.96
(13,602.96)
7,350.00
8.63%
EFTA01570041
0.11%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
26.06
10,000.000
260,600.00
261,300.00
(700.00)
19,690.00
7.56%
34.25
1,000.000
34,250.00
50,000.00
(15,750.00)
2,375.00
6.93%
Page 11 of 77
EFTA01570042
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Concentrated & Other Equity
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$193,953.50
$207,909.17
($13,955.67)
$14,225.00
$2,007.90
Unclassified
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN JEO0B1VS3770 SEDOL BlVS377
131994-91-5
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00BO0FV011 SEDOL BOOFV01
461278-91-3 GBP
Total Unclassified
$148,188.75
$147,224.59
($18,518.64)
$0.00
0.00%
185.55
105.000
19,482.80
N/A **
N/A
154.10
301.000
46,384.10
45,068.38
1,315.72
7.31%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
106.47
EFTA01570043
150,000.000
159,703.50
157,909.17
1,794.33
11,850.00
2,007.90
7.39%
40.00
2,058.000
82,321.85
102,156.21
(19,834.36)
Page 12 of 77
EFTA01570044
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
48,724.00
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
$44,424.00
$64,010.03
26.94
1,000.000
26,940.00
44,010.03
87.42
20,000.000
17,484.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
44,424.00
Change
In Value
(4,300.00)
Current
Allocation
1%
Page 13 of 77
EFTA01570045
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
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
1,001,899.23
867,469.29
50,229.21
624,354.50
603,783.14
134,377.50
$3,282,112.87
Ending
Market Value
1,165,213.57
808,604.77
48,289.02
632,373.50
596,452.35
133,005.00
$3,383,938.21
Current
Period Value
3,383,938.21
3,525,749.23
(141,811.02)
57,420.00
21,165.24
1.87%
US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 67 %
Change
In Value
163,314.34
(58,864.52)
(1,940.19)
EFTA01570046
8,019.00
(7,330.79)
(1,372.50)
$101,825.34
Current
Allocation
22%
16%
1%
13%
12%
3%
67%
Cash
Non-USD Short Term
Complementary Structured
Strategies
Non-US Fixed Income
Non-USD Cash
Asset Categories
Page 14 of 77
EFTA01570047
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years'
5-10 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
2,252,976.40
637,599.31
270,630.00
222,732.50
$3,383,938.21
% of Bond
Portfolio
69%
18%
7%
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.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MM FD MORGAN
Total Cash
1.00
1.00
1,165,212.57
1.00
1,165,212.57
1.00
$1,165,213.57
1,165,212.57
1.00
$1,165,213.57
$0.00
$349.56
$28.26
EFTA01570048
0.03%
349.56
28.26
0.03%
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
Complementary Structure
Total Value
Market
Value
1,165,213.57
808,604.77
272,016.00
222,732.50
782,366.37
133,005.00
$3,383,938.21
% of Bond
Portfolio
37%
23%
8%
6%
23%
3%
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.
Page 15 of 77
EFTA01570049
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-USD Cash
EURO PRINCIPAL CURRENCY
POUND STERLING
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.7500%
DATED 12/28/2011 MATURITY 01/04/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6600%
DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - GBP
LONDON TIME DEPOSITS 0.3000%
DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.0000%
DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
$808,604.77
$830,077.77
($21,473.00)
$2,918.06
$20.19
0.37%
16.76
592,152.66
99,222.12
102,960.95
(3,738.83)
0.02%
155.41
295,540.56
459,299.58
479,551.17
(20,251.59)
1,377.89
7.34
0.30%
98.21
115,033.54
112,971.80
112,641.59
330.21
745.61
4.06
0.66%
EFTA01570050
1.30
1.55
16.76
1,535.46
18,773.51
632,257.29
1,993.26
29,175.89
105,942.12
1,982.97
29,294.52
103,646.57
10.29
(118.63)
2,295.55
794.56
8.79
0.81%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 16 of 77
EFTA01570051
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
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
US Fixed Income
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /A3
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /AA2
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
91.75
150,000.00
137,625.00
150,000.00
(12,375.00)
3,750.00
739.50
4.11%
86.79
150,000.00
130,177.50
150,000.00
(19,822.50)
5,400.00
690.00
6.83%
91.41
50,000.00
45,703.50
45,394.50
309.00
326.39
45.50
EFTA01570052
2.75%
53.65
90,000.00
48,289.02
50,106.74
(1,817.72)
4,221.95
2,307.06
8.37%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
96.14
100,000.00
96,135.00
100,000.00
(3,865.00)
2,900.00
612.20
4.01%
Page 17 of 77
EFTA01570053
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/11 to 12/31/11
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
$632,373.50
$664,942.95
$665,361.50
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
JPM MANAGED RESERVES C
051398-91-5 GBP
10,018.32
7.54
75,488.03
79,003.04
(3,515.01)
177.28
187.90
33,309.84
39,293.00
(5,983.16)
($32,569.45)
$22,376.39
$5,753.75
4.54%
109.06
50,000.00
54,531.00
53,943.70
EFTA01570054
54,040.00
587.30
2,500.00
1,152.75
4.33%
112.13
100,000.00
112,127.00
110,277.14
110,503.00
1,849.86
5,000.00
1,888.80
4.01%
112.15
50,000.00
56,074.50
55,327.61
55,424.00
746.89
2,500.00
625.00
3.91%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 18 of 77
EFTA01570055
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
Non-US Fixed Income
ISHARES BARCLAYS CAPITAL
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 GBP
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 AAA /AAA IDR
Total Non-US Fixed Income
$596,452.35
$665,408.20
($68,955.85)
$23,429.04
$13,055.98
4.61%
0.01 1,300,000,000.00
141,934.00
150,112.11
(8,178.11)
9,318.99
5,372.25
7.01%
1.75
6,700,000.00
117,194.79
143,232.17
(26,037.38)
3,784.95
2,916.18
6.51%
53.23
200,000.00
106,454.52
135,555.56
EFTA01570056
(29,101.04)
10,325.10
4,767.55
9.29%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
21.08
5,790.00
122,071.17
118,212.32
3,858.85
Page 19 of 77
EFTA01570057
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Price
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
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
88.67
150,000.00
133,005.00
150,000.00
(16,995.00)
4,125.00
Page 20 of 77
EFTA01570058
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
84,786.97
Ending
Estimated Value
83,641.54
Change
In Value
(1,145.43)
Current
Allocation
2%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Other Detail
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IEOOB3BMD843 SEDOL B3BMD84
695421-91-7 GBP
19.18
12/29/11
4,361.513
83,641.54
90,364.18
(6,722.64)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Period Value
83,641.54
90,364.18
(6,722.64)
Page 21 of 77
EFTA01570059
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
147,636.75
(5,000.00)
$142,636.75
$1,165,212.57
* 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
723,815.88
(376,487.00)
$347,328.88
-$0.00
$0.00
$0.00
-$0.00
1,268.91
1,795.08
109,939.36
$113,003.35
59,841.09
673,223.39
179,647.71
$912,712.19
(150,000.00)
(2,597.22)
(144,773.93)
($297,371.15)
$0.00
$0.00
Period
EFTA01570060
Value
909,572.47
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
Page
22 of 77
EFTA01570061
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
Period Value
398,110.30
$398,110.30
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/1
12/1
12/1
12/2
12/2
12/5
Interest Income
Div Domest
Div Domest
Div Domest
Spot FX
Spot FX
Description
DEPOSIT SWEEP INTEREST FOR NOV. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $802,578.42 AS OF
12/01/11
GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE
(ID: 37045V-20-9)
KROGER CO @ 0.115 PER SHARE (ID: 501044-10-1)
CAPITAL ONE FINANCIAL CORP @ 0.05 PER SHARE
(ID: 14040H-10-5)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
TRY EXCHANGE RATE 1.829900000 DEAL 12/01/11
VALUE 12/02/11 (ID: OTRYPR-AA-5)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
CHF EXCHANGE RATE .916000000 DEAL 12/01/11
VALUE 12/05/11 (ID: OCHFPR-AA-4)
Page 23 of 77
(5,466.950)
(5,926.23)
5,968.29
(19,500.000)
(11,816.03)
10,656.32
1,000.000
EFTA01570062
265.000
114.000
0.594
0.115
0.05
593.75
30.48
5.70
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
19.79
INCOME
Amount
Year-To-Date
Value*
(17.50)
1,287,789.34
$1,287,771.84
EFTA01570063
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/5
12/5
12/6
12/6
12/7
12/12
12/12
12/14
12/15
12/15
12/20
12/20
12/21
Spot FX
Spot FX
Spot FX
Spot FX
Spot FX
Div Domest
Div Domest
Div Domest
Div Domest
Div Domest
Div Domest
Div Domest
Div Domest
Description
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.346000000 DEAL 12/01/11
VALUE 12/05/11 (ID: OEURPR-AA-9)
SPOT CURRENCY TRANSACTION - SELL BUY USD SELL
NOK EXCHANGE RATE 5.810500000 DEAL 12/01/11
VALUE 12/05/11 (ID: ONOKPR-AA-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
CHF EXCHANGE RATE .922000000 DEAL 12/01/11
VALUE 12/06/11 (ID: OCHFPR-CV-6)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.337800000 DEAL 12/01/11
VALUE 12/06/11 (ID: OEURPR-CV-1)
LINKED CURRENCY TRANSACTION - SELL BUY USD SELL
EUR EXCHANGE RATE 1.344000000 DEAL 12/02/11
VALUE 12/07/11 (ID: OEURPR-CV-1)
CHEVRON CORP @ 0.81 PER SHARE (ID: 166764-10-0)
UNITED TECHNOLOGIES CORP @ 0.48 PER SHARE
(ID: 913017-10-9)
E I DU PONT DE NEMOURS & CO @ 0.41 PER SHARE
EFTA01570064
(ID: 263534-10-9)
TIME WARNER INC NEW @ 0.235 PER SHARE
(ID: 887317-30-3)
COCA-COLA CO @ 0.47 PER SHARE (ID: 191216-10-0)
DOMINION RESOURCES INC VA @ 0.4925 PER SHARE
(ID: 25746U-10-9)
BROADCOM CORP CL A @ 0.09 PER SHARE AS OF
12/19/11 (ID: 111320-10-7)
QUALCOMM INC @ 0.215 PER SHARE (ID: 747525-10-3)
250.000
176.000
0.09
0.215
22.50
37.84
Page 24 of 77
224.000
290.000
204.000
182.000
0.41
0.235
0.47
0.493
91.84
68.15
95.88
89.64
116.000
162.000
0.81
0.48
93.96
77.76
(7,000.610)
(9,408.82)
9,408.82
(9,405.430)
(12,582.58)
12,582.58
(9,582.880)
(10,393.58)
10,393.58
(14,769.570)
(2,548.93)
2,541.88
Quantity
Cost
Per Unit
Amount
(43,378.820)
EFTA01570065
(58,474.53)
PRINCIPAL
Amount
58,387.89
INCOME
Amount
EFTA01570066
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/21
12/23
12/30
Div Domest
Div Domest
Misc Credit
Description
UNITEDHEALTH GROUP INC @ 0.1625 PER SHARE
(ID: 91324P-10-2)
BANK OF AMERICA CORP @ 0.01 PER SHARE
(ID: 060505-10-4)
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE64945944120100 GHISLAINE MAXWELL 44
KINNERTON STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
PMT FROM JPMORGAN/CHGS/USD0d0CMT/USD1671,5
TRN: 2155200364FS
12/30
Misc Credit
BOOK TRANSFER CREDIT B/0: JP MORGAN INT'L BANK
LTD-BRUSSBRUSSELS BELGIUM B-121-0
ORG:/BE88945944125100 GHISLAINE MAXWELL 44
KINNERTON STREOGB: JP MORGAN INT'L BANK
LTD-BRUSSJPM INTERNATIONAL BANK BRUSSELS REF:
PMT FROM JPMORGAN/CHGS/USD0d0CMT/USD123,57
TRN: 2155100364FS
Total Inflows & Outflows
$113,003.35
123.57
Quantity
Cost
Per Unit
Amount
198.000
944.000
0.163
0.01
PRINCIPAL
Amount
32.18
9.44
1,671.51
INCOME
Amount
Page 25 of 77
EFTA01570067
EFTA01570068
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
TRADE ACTIVITY
Note:
Trade Date
Settle Date
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
11/28
12/1
L indicates Long Term Realized Gain/Loss
S indicates Short Term Realized Gain/Loss
* Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
ACCENTURE PLC-CL A @ 55.12 6,779.76 BROKERAGE
7.38 TAX &/OR SEC .14 J.P. MORGAN SECURITIES
LLC (ID: G1151C-10-1)
ACE LTD NEW @ 65.92048 7,449.01 BROKERAGE 6.78
TAX &/OR SEC .15 J.P. MORGAN SECURITIES LLC
(ID: H0023R-10-5)
EFTA01570069
AUTOZONE INC @ 320.00 7,040.00 BROKERAGE 1.32
TAX &/OR SEC .14 J.P. MORGAN SECURITIES LLC
(ID: 053332-10-2)
COMCAST CORP CL A @ 21.72008 7,819.23 BROKERAGE
21.60 TAX &/OR SEC .16 J.P. MORGAN SECURITIES
LLC (ID: 20030N-10-1)
NIKE INC B @ 94.79 10,995.64 BROKERAGE 6.96 TAX
&/OR SEC .22 J.P. MORGAN SECURITIES LLC
(ID: 654106-10-3)
ORACLE CORP @ 29.78031 7,057.93 BROKERAGE 14.22
TAX &/OR SEC .14 J.P. MORGAN SECURITIES LLC
(ID: 68389X-10-5)
ENTRY REVERSED ON 12/02/2011 RESEARCH IN MOTION
LIMITED @ 16.40 6,560.00 BROKERAGE 100.00 TAX
&/OR SEC .13 J.P. MORGAN SECURITIES LLC
(ID: 760975-10-2)
VERIZON COMMUNICATIONS INC @ 36.29 10,270.07
BROKERAGE 16.98 TAX &/OR SEC .20 J.P. MORGAN
SECURITIES LLC (ID: 92343V-10-4)
(283.000)
36.229
10,252.89
(10,202.25)
50.64 S*
(400.000)
16.15
6,459.87
(46,102.00)
(39,642.13) L *
(237.000)
29.72
7,043.57
(6,244.73)
798.84 S*
(116.000)
94.728
10,988.46
(9,909.91)
1,078.55 S*
(360.000)
21.66
7,797.47
(7,646.91)
150.56 S*
(22.000)
319.934
7,038.54
(6,296.62)
741.92 S*
(113.000)
65.859
EFTA01570070
7,442.08
(6,879.96)
562.12 S*
Quantity
(123.000)
Per Unit
Amount
55.059
Proceeds
6,772.24
Tax Cost
(6,850.67)
Realized
Gain/Loss
(78.43) S*
Page 26 of 77
EFTA01570071
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Trade Date
Settle Date
11/29
12/2
11/28
12/2
11/28
12/2
11/30
12/5
11/30
12/5
12/1
12/6
12/1
12/6
12/16
12/21
12/23
12/29
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
HUMANA INC @ 86.45 5,446.35 BROKERAGE 3.78 TAX
&/OR SEC .11 J.P. MORGAN SECURITIES LLC
(ID: 444859-10-2)
TO REVERSE ENTRY OF 12/01/2011 RESEARCH IN
MOTION LIMITED @ 16.40 6,560.00 BROKERAGE
100.00 TAX &/OR SEC .13 J.P. MORGAN SECURITIES
LLC AS OF 12/01/11 (ID: 760975-10-2)
RESEARCH IN MOTION LIMITED @ 16.40 6,560.00
EFTA01570072
BROKERAGE 24.00 TAX &/OR SEC .13 J.P. MORGAN
SECURITIES LLC (ID: 760975-10-2)
DOMINION RESOURCES INC VA @ 51.58 9,387.56
BROKERAGE 10.92 TAX &/OR SEC .19 J.P. MORGAN
SECURITIES LLC (ID: 25746U-10-9)
RESEARCH IN MOTION LIMITED @ 18.00 7,200.00
BROKERAGE 24.00 TAX &/OR SEC .14 J.P. MORGAN
SECURITIES LLC (ID: 760975-10-2)
CAPITAL ONE FINANCIAL CORP @ 44.69 5,094.66
BROKERAGE 6.84 TAX &/OR SEC .10 J.P. MORGAN
SECURITIES LLC (ID: 14040H-10-5)
COCA-COLA CO @ 67.42104 13,753.89 BROKERAGE
12.24 TAX &/OR SEC .27 J.P. MORGAN SECURITIES
LLC (ID: 191216-10-0)
ZYNGA INC @ 11.00 5,500.00 BROKERAGE 30.00 TAX
&/OR SEC .11 J.P. MORGAN SECURITIES LLC
(ID: 98986T-10-8)
EXXON MOBIL CORP @ 84.29 16,015.10 BROKERAGE
11.40 TAX &/OR SEC .31 J.P. MORGAN SECURITIES
LLC (ID: 30231G-10-2)
(190.000)
84.228
16,003.39
(15,157.50)
845.89 S
(500.000)
10.94
5,469.89
(5,000.00)
469.89 S
(204.000)
67.36
13,741.38
(13,662.10)
79.28 S
(114.000)
44.629
5,087.72
(5,083.61)
4.11 S
(400.000)
17.94
7,175.86
(44,361.72)
(37,185.86) L *
(182.000)
51.519
9,376.45
(9,208.53)
167.92 S*
(400.000)
EFTA01570073
16.34
6,535.87
(46,102.00)
(39,566.13) L *
400.000
16.15
(6,459.87)
46,102.00
39,642.13 L *
Quantity
(63.000)
Per Unit
Amount
86.388
Proceeds
5,442.46
Tax Cost
(4,831.82)
Realized
Gain/Loss
610.64 S*
Page 27 of 77
EFTA01570074
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Trade Date
Settle Date
12/23
12/29
12/23
12/29
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
UNION PACIFIC CORP @ 104.58 11,399.22 BROKERAGE
6.54 TAX &/OR SEC .22 J.P. MORGAN SECURITIES
LLC (ID: 907818-10-8)
UNITEDHEALTH GROUP INC @ 50.95 10,088.10
BROKERAGE 11.88 TAX &/OR SEC .20 J.P. MORGAN
SECURITIES LLC (ID: 91324P-10-2)
Total Settled Sales/Maturities/Redemptions
$147,636.75
($218,399.42)
($76,751.99) L
$5,989.32 S
(198.000)
50.889
10,076.02
(9,955.32)
120.70 S
Quantity
(109.000)
Per Unit
Amount
104.518
Proceeds
11,392.46
Tax Cost
(11,005.77)
Realized
Gain/Loss
386.69 S
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
12/15
Purchase
12/21
EFTA01570075
ZYNGA INC @ 10.00 J.P. MORGAN SECURITIES LLC
(ID: 98986T-10-8)
COST ADJUSTMENTS
Settle Date
12/2
12/2
12/2
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Description
COVIDIEN PLC NEW COST BASIS ADJUSTMENT
(ID: G2554F-11-3)
APACHE CORP COST BASIS ADJUSTMENT
(ID: 037411-10-5)
BB & T CORP COST BASIS ADJUSTMENT
(ID: 054937-10-7)
Quantity
236.000
95.000
309.000
Cost Basis
Adjustments
7,312.64
7,020.39
5,001.85
Page 28 of 77
Quantity
500.000
Per Unit
Amount
10.00
Market Cost
(5,000.00)
EFTA01570076
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
COST ADJUSTMENTS
Settle Date
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Description
BANK OF AMERICA CORP COST BASIS ADJUSTMENT
(ID: 060505-10-4)
BROADCOM CORP CL A COST BASIS ADJUSTMENT
(ID: 111320-10-7)
ETFS METAL SECURITIES LTD ISIN JE00B1VS3770
SEDOL BlVS377 COST BASIS ADJUSTMENT
(ID: 131994-91-5)
CAPITAL ONE FINANCIAL CORP COST BASIS
ADJUSTMENT (ID: 14040H-10-5)
CHEVRON CORP COST BASIS ADJUSTMENT
(ID: 166764-10-0)
CITIGROUP INC NEW COST BASIS ADJUSTMENT
(ID: 172967-42-4)
COCA-COLA CO COST BASIS ADJUSTMENT
(ID: 191216-10-0)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A COST
BASIS ADJUSTMENT (ID: 192446-10-2)
WALT DISNEY CO COST BASIS ADJUSTMENT
(ID: 254687-10-6)
EFTA01570077
DOMINION RESOURCES INC VA COST BASIS ADJUSTMENT
(ID: 25746U-10-9)
E I DU PONT DE NEMOURS & CO COST BASIS
ADJUSTMENT (ID: 263534-10-9)
E M C CORP MASS COST BASIS ADJUSTMENT
(ID: 268648-10-2)
EXXON MOBIL CORP COST BASIS ADJUSTMENT
(ID: 30231G-10-2)
114.000
116.000
358.000
204.000
102.000
229.000
182.000
224.000
468.000
190.000
3,099.10
7,277.25
8,649.95
8,411.11
4,478.83
5,551.42
5,908.07
7,103.62
7,621.18
9,332.92
Quantity
944.000
250.000
301.000
Cost Basis
Adjustments
6,249.36
5,122.53
27,595.53
Page 29 of 77
EFTA01570078
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
COST ADJUSTMENTS
Settle Date
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/2
12/15
12/15
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Description
HUMANA INC COST BASIS ADJUSTMENT
(ID: 444859-10-2)
JOHNSON CONTROLS INC COST BASIS ADJUSTMENT
(ID: 478366-10-7)
KROGER CO COST BASIS ADJUSTMENT
(ID: 501044-10-1)
OCCIDENTAL PETROLEUM CORP COST BASIS ADJUSTMENT
(ID: 674599-10-5)
SCHLUMBERGER LTD COST BASIS ADJUSTMENT
(ID: 806857-10-8)
TIME WARNER INC NEW COST BASIS ADJUSTMENT
(ID: 887317-30-3)
DB X-TRACKERS ISIN LU0292106167 SEDOL B3DYFK4
COST BASIS ADJUSTMENT (ID: 892352-91-5)
UNION PACIFIC CORP COST BASIS ADJUSTMENT
(ID: 907818-10-8)
UNITED TECHNOLOGIES CORP COST BASIS ADJUSTMENT
(ID: 913017-10-9)
UNITEDHEALTH GROUP INC COST BASIS ADJUSTMENT
EFTA01570079
(ID: 91324P-10-2)
WELLS FARGO & CO COST BASIS ADJUSTMENT
(ID: 949746-10-1)
COVIDIEN PLC NEW COST BASIS ADJUSTMENT
(ID: G2554F-11-3)
APACHE CORP COST BASIS ADJUSTMENT
(ID: 037411-10-5)
Quantity
63.000
301.000
265.000
144.000
113.000
290.000
2,058.000
109.000
162.000
198.000
478.000
236.000
95.000
Cost Basis
Adjustments
3,122.39
6,972.47
4,056.15
8,419.45
5,863.95
6,278.13
62,935.57
6,775.95
8,486.80
6,129.00
8,141.50
4,547.39
4,382.91
Page 30 of 77
EFTA01570080
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
COST ADJUSTMENTS
Settle Date
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Description
BB & T CORP COST BASIS ADJUSTMENT
(ID: 054937-10-7)
BANK OF AMERICA CORP COST BASIS ADJUSTMENT
(ID: 060505-10-4)
BROADCOM CORP CL A COST BASIS ADJUSTMENT
(ID: 111320-10-7)
ETFS METAL SECURITIES LTD ISIN JE00B1VS3770
SEDOL BlVS377 COST BASIS ADJUSTMENT
(ID: 131994-91-5)
CHEVRON CORP COST BASIS ADJUSTMENT
(ID: 166764-10-0)
CITIGROUP INC NEW COST BASIS ADJUSTMENT
(ID: 172967-42-4)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A COST
BASIS ADJUSTMENT (ID: 192446-10-2)
WALT DISNEY CO COST BASIS ADJUSTMENT
(ID: 254687-10-6)
E I DU PONT DE NEMOURS & CO COST BASIS
ADJUSTMENT (ID: 263534-10-9)
EFTA01570081
E M C CORP MASS COST BASIS ADJUSTMENT
(ID: 268648-10-2)
EXXON MOBIL CORP COST BASIS ADJUSTMENT
(ID: 30231G-10-2)
JOHNSON CONTROLS INC COST BASIS ADJUSTMENT
(ID: 478366-10-7)
KROGER CO COST BASIS ADJUSTMENT
(ID: 501044-10-1)
116.000
358.000
102.000
229.000
224.000
468.000
190.000
301.000
265.000
3,000.12
5,398.57
2,796.33
3,463.98
4,434.00
4,757.46
5,824.58
4,351.74
2,531.01
Quantity
309.000
944.000
250.000
301.000
Cost Basis
Adjustments
3,121.36
3,899.49
3,199.25
17,472.85
Page 31 of 77
EFTA01570082
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
COST ADJUSTMENTS
Settle Date
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/15
12/23
12/23
12/23
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments
Description
OCCIDENTAL PETROLEUM CORP COST BASIS ADJUSTMENT
(ID: 674599-10-5)
SCHLUMBERGER LTD COST BASIS ADJUSTMENT
(ID: 806857-10-8)
TIME WARNER INC NEW COST BASIS ADJUSTMENT
(ID: 887317-30-3)
DB X-TRACKERS ISIN LU0292106167 SEDOL B3DYFK4
COST BASIS ADJUSTMENT (ID: 892352-91-5)
UNION PACIFIC CORP COST BASIS ADJUSTMENT
(ID: 907818-10-8)
UNITED TECHNOLOGIES CORP COST BASIS ADJUSTMENT
(ID: 913017-10-9)
UNITEDHEALTH GROUP INC COST BASIS ADJUSTMENT
(ID: 91324P-10-2)
WELLS FARGO & CO COST BASIS ADJUSTMENT
(ID: 949746-10-1)
CHEVRON CORP COST BASIS ADJUSTMENT
(ID: 166764-10-0)
TIME WARNER INC NEW COST BASIS ADJUSTMENT
(ID: 887317-30-3)
TIME WARNER INC NEW COST BASIS ADJUSTMENT
(ID: 887317-30-3)
EFTA01570083
Quantity
144.000
113.000
290.000
2,058.000
109.000
162.000
198.000
478.000
116.000
290.000
290.000
Cost Basis
Adjustments
5,234.53
3,660.09
2,730.84
39,220.64
4,229.82
5,297.03
3,826.32
5,082.63
1,542.58
1,325.56
(137.89)
$398,110.30
Page 32 of 77
EFTA01570084
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
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
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
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
33 of 77
EFTA01570085
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Australia Dollar
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
7,237.30
$7,237.30
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - Australia Dollar
COST ADJUSTMENTS - Australia Dollar
Cost Basis
Settle Date
12/2
12/13
12/15
Type
Cost Basis Adj
Cost Basis Adj
Cost Basis Adj
Total Cost Adjustments (USD)
Description
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 COST BASIS ADJUSTMENT (ID: Q78063-91-6)
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 COST BASIS ADJUSTMENT (ID: Q78063-91-6)
QBE INSURANCE GROUP LTD ISIN AU000000QBE9 SEDOL
6715740 COST BASIS ADJUSTMENT (ID: Q78063-91-6)
Quantity
400.000
400.000
400.000
Adjustments USD
Local Value
4,747.92
4,460.19
(4,747.92)
(4,460.19)
7,237.30
6,798.62
$7,237.30
Year-To-Date
Value*
7,237.30
$7,237.30
Local Value
Current
Period Value
EFTA01570086
6,798.62
6,798.62
Year-To-Date
Value*
6,798.62
6,798.62
Page 34 of 77
EFTA01570087
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
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
$0.00
-51,742.94
(112,433.39)
($60,690.45)
-0.00
0.00
50,731.37
(114,820.48)
(64,089.11)
-Period
Value
Beginning Cash Balance
-72.16
$72.16
(72.16)
($72.16)
Year-To-Date
Value*
-208.20
$208.20
(208.20)
($208.20)
Local
Value
Current
Period Value
0.00
73.79
73.79
(73.79)
EFTA01570088
(73.79)
Year-To-Date
Value*
-213.06
213.06
(213.06)
(213.06)
Page
35 of 77
EFTA01570089
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Canadian Dollar
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
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/2
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526E9-9J-8)
12/2
12/2
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 11/25/2011 MATURITY 12/02/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526E9-9J-8)
(14.750)
(114,959.750)
(14.50)
(14.75)
Quantity
114,959.750
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
14.50
14.75
INCOME
Amount USD
Local Value
Currency
EFTA01570090
Gain/Loss USD
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
36 of 77
EFTA01570091
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/2
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/02/2011 MATURITY 12/09/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 252639-9K-0)
12/9
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/02/2011 MATURITY 12/09/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526J9-9K-0)
12/9
12/9
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
12/9
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/02/2011 MATURITY 12/09/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526J9-9K-0)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/09/2011 MATURITY 12/16/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526N9-9A-7)
12/16
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/09/2011 MATURITY 12/16/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526N9-9A-7)
12/16
12/16
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/09/2011 MATURITY 12/16/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526N9-9A-7)
EFTA01570092
(14.760)
(114,989.260)
(14.25)
(14.76)
114,989.260
14.25
14.76
114,989.260
(14.760)
(114,974.500)
(14.52)
(14.76)
114,974.500
14.52
14.76
Quantity
114,974.500
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 37 of 77
EFTA01570093
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/16
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/16/2011 MATURITY 12/23/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526R9-9K-1)
12/23
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/16/2011 MATURITY 12/23/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526R9-9K-1)
12/23
12/23
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
12/23
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/16/2011 MATURITY 12/23/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526R9-9K-1)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/23/2011 MATURITY 12/30/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526U9-9U-5)
12/30
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/23/2011 MATURITY 12/30/2011
HELD BY LONDON TREASURY SERVICES
(ID: 2526U9-9U-5)
12/30
12/30
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/23/2011 MATURITY 12/30/2011
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526U9-9U-5)
EFTA01570094
(14.760)
(115,018.780)
(14.45)
(14.76)
115,018.780
14.45
14.76
115,018.780
(14.760)
(115,004.020)
(14.44)
(14.76)
115,004.020
14.44
14.76
Quantity
115,004.020
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 38 of 77
EFTA01570095
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/30
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6600% DATED 12/30/2011 MATURITY 01/09/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2526X9-9Q-1)
Total Inflows & Outflows
$0.00
Quantity
115,033.540
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 39 of 77
EFTA01570096
GHISLAINE MAXWELL ACCT.
For the Period 12/1/11 to 12/31/11
Portfolio Activity Summary - Euro
PRINCIPAL
US Dollar Value
Current
Transactions
Income
Contributions
Total Inflows
OUTFLOWS **
Tax Payments
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
* Year to date information is calculat
ℹ️ Document Details
SHA-256
7b9392d265d0dc2f676daa330d21f10f33443cf3115e14ac70c67cd77ff9d7e8
Bates Number
EFTA01570018
Dataset
DataSet-10
Document Type
document
Pages
162
Comments 0