📄 Extracted Text (8,457 words)
GHISLAINE MAXWELL
EFTA01570284
EFTA01570285
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
ACCT.
For the Period 2/1/12 to 2/29/12
Asset Account
J.P. Morgan Team
Paul Morris
Jason Bell
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
11
12
18
19
0000006293.15.0.15.00003.MAXWE00.20120308
Page 1 of 33
EFTA01570286
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,210,653.98
102,975.73
7,258,799.86
88,373.68
$8,660,803.25
32,695.68
$8,693,498.93
Ending
Market Value
1,159,015.72
195,945.40
7,291,802.17
90,156.84
$8,736,920.13
31,969.35
$8,768,889.48
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
8,660,803.25
147.66
(496.04)
1,314,939.23
(1,314,710.15)
($119.30)
7,385.68
68,850.50
EFTA01570287
$8,736,920.13
31,969.35
$8,768,889.48
Change
In Value
(51,638.26)
92,969.67
33,002.31
1,783.16
$76,116.88
(726.33)
$75,390.55
Year-to-Date
Value
4,926,904.29
4,972,947.20
(1,523,298.67)
3,764,543.35
(3,662,246.01)
$3,551,945.87
16,507.32
241,562.65
$8,736,920.13
31,969.35
$8,768,889.48
Estimated
46,969.28
59,492.69
$106,461.97
Current
Annual Income Allocation
14%
2%
83%
1%
100%
Equity
Cash &
Fixed Income
Other
Alternative
Assets
Asset Allocation
Page 2 of 33
EFTA01570288
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
CONTINUED
Current
Period Value
507.27
2,669.03
2,161.10
$5,337.40
2,500.00
(451.72)
$2,048.28
Year-to-Date
Value
830.49
4,144.47
(42.54)
8,419.72
$13,352.14
3,750.00
(594.82)
$3,155.18
Unrealized Gain/Loss
To-Date Value
($284,068.50)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
6,075.75
(58,385.84)
($52,310.09)
Cost Summary
Equity
Cost
Cash & Fixed Income
Other
Total
EFTA01570289
1,395,698.82
7,326,428.50
90,364.18
$8,812,491.50
Page 3 of 33
EFTA01570290
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
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
112,244.53
5,940.00
374,029.22
429,082.00
202,541.50
86,816.73
$1,210,653 98
Ending
Market Value
115,212.84
6,000.00
395,528.88
436,402.00
205,872.00
0.00
$1,159,015.72
Current
Period Value
1,159,015.72
1,395,698.82
(233,945.61)
46,969.28
4,990.46
4.03%
Equity as a percentage of your portfolio - 14 %
Preferred Stocks
Change
In Value
2,968.31
EFTA01570291
60.00
21,499.66
7,320.00
3,330.50
(86,816.73)
($51,638.26)
14%
Concentrated & Other Equity
Current
Allocation
1%
1%
5%
5%
2%
Non-US Equity
US Large Cap Equity
US Small/Mid Cap Equity
Asset Categories
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 33
EFTA01570292
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
BANK OF AMERICA CORP
CITIGROUP INC NEW
060505-10-4 BAC
33.32
172967-42-4 C
E I DU PONT DE NEMOURS & CO
E M C CORP MASS
KROGER CO
263534-10-9 DD
27.69
268648-10-2 EMC
23.79
501044-10-1 KR
PROSHARES ULTRASHORT S&P 500
PROSHARES TRUST
SCHLUMBERGER LTD
UNITED TECHNOLOGIES CORP
WALT DISNEY CO
74347R-88-3 SDS
33.60
74347X-23-7 QID
77.61
806857-10-8 SLB
83.87
913017-10-9 UTX
41.99
254687-10-6 DIS
Total US Large Cap Equity
$115,212.84
$169,440.36
($54,227.52)
$1,178.68
$240.60
1.02%
229.000
9,615.71
9,015.40
600.31
162.000
13,586.94
13,783.83
(196.89)
113.000
8,769.93
9,524.04
EFTA01570293
(754.11)
124.30
31.08
311.04
77.76
137.40
1.42%
2.29%
1.43%
200.000
6,720.00
26,203.50
(19,483.50)
16.16
1,000.000
16,161.00
44,809.50
(28,648.50)
265.000
6,304.35
6,587.16
(282.81)
121.90
30.48
1.93%
468.000
12,958.92
12,378.64
580.28
50.85
224.000
11,390.40
11,537.62
(147.22)
367.36
91.84
3.23%
358.000
11,928.56
14,048.52
(2,119.96)
7.97
944.000
7,523.68
10,148.85
(2,625.17)
37.76
9.44
14.32
0.50%
0.12%
EFTA01570294
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
107.93
95.000
10,253.35
11,403.30
(1,149.95)
64.60
0.63%
Page 5 of 33
EFTA01570295
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
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
4.86
1,556.000
7,556.32
7,922.75
(366.43)
44.24
217.000
9,599.59
11,437.04
(1,837.45)
74.38
163.000
12,123.31
13,056.92
(933.61)
5.88
6,000.000
35,300.45
38,037.94 **
N/A
26.25
442.000
11,601.68
EFTA01570296
10,669.62
932.06
121.70
77.000
9,371.00
10,206.94
(835.94)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
2.00
3,000.000
6,000.00
18,129.32
(12,129.32)
56.95
149.000
8,485.93
9,781.64
(1,295.71)
Page 6 of 33
EFTA01570297
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Non-US Equity
CINEWORLD GROUP PLC
ISIN GBOOB15FWH70 SEDOL Bl5FWH7
172145-91-4 GBP
CREDIT SUISSE GROUP AG
ISIN CH0012138530 SEDOL 7171589
H3698D-93-0 CHF
ERICSSON LM-B SHS
ISIN SE0000108656 SEDOL 5959378
W26049-91-1 SEK
GDF SUEZ
ISIN FR0010208488 SEDOL BOC2CQ3
36827E-91-4 EUR
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
MARSTON'S PLC
ISIN GBOOB1JQDM80 SEDOL B1JQDM8
G58512-91-7 GBP
MITSUBISHI UFJ FINANCIAL GROUP
ISIN JP3902900004 SEDOL 6335171
J44497-92-3 JPY
5.19
1,400.000
7,264.64
6,697.36
567.28
1.56
30,000.000
46,917.09
48,127.99
(1,210.90)
5.80
4,350.000
25,224.53
26,287.24
(1,062.71)
0.54
25,000.000
13,494.65
163,464.66
(149,970.01)
EFTA01570298
21.63
200.000
4,326.66
5,219.70
(893.04)
26.05
289.000
7,527.01
9,914.97
(2,387.96)
10.11
793.000
8,013.57
10,052.84
(2,039.27)
26.99
230.000
6,206.69
8,916.46
(2,709.77)
3.20
4,500.000
14,395.02
16,168.92
(1,773.90)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Page 7 of 33
EFTA01570299
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Non-US Equity
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 AU000000QBE9 SEDOL 6715740
Q78063-91-6 AUD
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 GBP
RSA INSURANCE GROUP PLC
ISIN GB0006616899 SEDOL 0661689
G8566X-91-9 GBP
SANOFI
ISIN FR0000120578 SEDOL 5671735
F5548N-91-1 EUR
SCHNEIDER S A
ISIN FR0000121972 SEDOL 4834108
F86921-91-7 EUR
68.24
164.000
11,190.72
11,096.92
93.80
74.26
156.000
11,583.89
11,779.77
(195.88)
1.75
23,800.000
41,555.09
48,596.10
(7,041.01)
57.25
191.000
10,935.25
12,954.00
(2,018.75)
EFTA01570300
173.31
12.59
400.000
5,034.90
7,237.30
(2,202.40)
170.69
38.000
6,486.24
6,319.18
167.06
21.08
337.000
7,102.43
8,419.17
(1,316.74)
338.10
3.56%
10.28
1,200.000
12,335.06
12,254.65
80.41
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
17.28
500.000
8,642.20
8,640.50
1.70
Page 8 of 33
EFTA01570301
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Non-US Equity
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
Total Non-US Equity
$395,528.88
$577,641.01
($179,374.64)
$338.10
$173.31
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
24.06
4,200.000
101,052.00
98,778.96
2,273.04
7,350.00
7.27%
0.06%
15.40
1,000.000
15,395.13
15,082.81
312.32
7.54
933.000
7,032.90
9,050.23
EFTA01570302
(2,017.33)
25.84
555.000
14,340.51
14,171.09
169.42
123.55
77.000
9,513.35
8,750.42
762.93
17.43
400.000
6,973.07
7,325.88
(352.81)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.05
10,000.000
270,500.00
261,300.00
9,200.00
19,690.00
7.28%
Page 9 of 33
EFTA01570303
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Preferred Stocks
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.94
2,500.000
64,850.00
$436,402.00
62,500.00
$422,578.96
2,350.00
$13,823.04
4,187.50
$31,227.50
6.46%
7.16%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Concentrated & Other Equity
GENERAL MOTORS CO
42.69
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
Total Concentrated & Other Equity
$205,872.00
$207,909.17
($2,037.17)
$14,225.00
$4,576.55
6.88%
108.79
150,000.000
163,182.00
157,909.17
5,272.83
11,850.00
EFTA01570304
3,982.80
7.22%
1,000.000
42,690.00
50,000.00
(7,310.00)
2,375.00
593.75
5.56%
Page 10 of 33
EFTA01570305
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
102,975.73
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
DB X-TRACKERS
ISIN LU0292106167 SEDOL B3DYFK4
892352-91-5
ETFS METAL SECURITIES LTD
ISIN 3E00B1VS3770 SEDOL BlVS377
131994-91-5
ISHARES SILVER TRUST
Total Hard Assets
464280-10-9 SLV
$195,945.40
$211,234.62
33.55
1,000.000
33,550.00
44,010.03
168.52
301.000
50,724.52
45,068.38
44.36
2,058.000
91,292.88
102,156.21
101.89
20,000.000
20,378.00
20,000.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
195,945.40
EFTA01570306
Change
In Value
92,969.67
Current
Allocation
2%
Page 11 of 33
EFTA01570307
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
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
4,877,588.71
885,103.01
51,390.08
750,979.70
549,343.86
144,394.50
$7,258,799 86
Ending
Market Value
4,882,728.78
907,283.08
52,398.57
754,766.00
551,306.74
143,319.00
$7,291,802.17
Current
Period Value
7,291,802.17
7,326,428.50
(34,626.33)
59,492.69
26,978.89
0.82%
Non-USD Cash
Change
In Value
5,140.07
22,180.07
1,008.49
3,786.30
EFTA01570308
1,962.88
(1,075.50)
$33,002.31
Current
Allocation
55%
10%
1%
9%
6%
2%
83%
US Fixed Income
Non-USD Short Term
Non-US Fixed Income
Complementary Structured
Asset Categories
Strategies
Cash
Cash & Fixed Income as a percentage of your portfolio 83 %
Page 12 of 33
EFTA01570309
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
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
6,100,813.39
673,926.78
290,094.00
226,968.00
$7,291,802.17
% of Bond
Portfolio
85%
9%
3%
3%
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
4,882,727.78
1.00
4,882,727.78
1.00
$4,882,728.78
4,882,727.78
1.00
$4,882,728.78
$0.00
$488.27
$38.66
EFTA01570310
0.01%
488.27
38.66
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Complementary Structure
Total Value
Market
Value
4,882,728.78
907,283.08
282,713.00
226,968.00
828,318.59
20,471.72
143,319.00
$7,291,802.17
% of Bond
Portfolio
69%
12%
3%
3%
11%
1%
1%
100%
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Page 13 of 33
EFTA01570311
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Non-USD Cash
POUND STERLING
JAPANESE YEN
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.1500%
DATED 02/24/2012 MATURITY 03/02/2012
HELD BY LONDON TREASURY SERVICES
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6100%
DATED 02/28/2012 MATURITY 03/06/2012
HELD BY LONDON TREASURY SERVICES
Total Non-USD Cash
$907,283.08
$894,859.18
$12,423.90
$3,249.70
$45.97
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
459058-96-1 NA /AAA BRL
US Fixed Income
JPM MANAGED RESERVES C
051398-91-5 GBP
10,330.23
7.54
77,838.28
79,003.04
(1,164.76)
58.22
90,000.00
52,398.57
50,106.74
2,291.83
4,586.75
3,258.32
8.63%
0.39%
101.53
115,153.42
116,912.96
112,760.51
4,152.45
713.16
3.85
EFTA01570312
0.62%
1.60
0.01
17.99
350,630.98
784,035.00
1,225,867.64
560,115.11
9,685.97
220,569.04
565,067.26
10,173.02
206,858.39
(4,952.15)
(487.05)
13,710.65
2,536.54
42.12
1.26%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 14 of 33
EFTA01570313
GHISLAINE MAXWELL
ACCT.
For the Period 2/1/12 to 2/29/12
Price
US Fixed Income
ISHARES MARKIT IBOXX CORPORATE BOND
ISIN IE00BOOFV011 SEDOL BOOFVO1
461278-91-3 GBP
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
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
116.19
50,000.00
58,093.50
55,158.19
55,424.00
2,935.31
2,500.00
1,041.65
3.57%
97.85
150,000.00
146,775.00
150,000.00
(3,225.00)
3,750.00
1,364.55
2.92%
92.17
150,000.00
138,252.00
EFTA01570314
150,000.00
(11,748.00)
5,400.00
1,590.00
5.51%
95.73
50,000.00
47,867.00
45,394.50
2,472.50
355.00
18.55
1.77%
194.97
96.59
105.00
100,000.00
20,471.72
96,594.00
19,023.08
100,000.00
1,448.64
227.60
(3,406.00)
2,900.00
1,095.50
3.92%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 15 of 33
EFTA01570315
GHISLAINE MAXWELL
ACCT.
For the Period 2/1/12 to 2/29/12
Price
US Fixed Income
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
$754,766.00
$762,328.64
$763,387.62
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 GBP
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
58.40
200,000.00
116,790.29
135,555.56
(18,765.27)
11,168.70
6,988.05
8.12%
21.34
5,790.00
123,569.78
118,212.32
5,357.46
194.38
187.90
36,523.18
39,293.00
EFTA01570316
(2,769.82)
($7,562.64)
$22,405.00
$5,879.45
3.36%
111.07
50,000.00
55,532.50
53,771.88
54,040.00
1,760.62
2,500.00
319.40
4.19%
113.34
100,000.00
113,342.00
109,977.95
110,503.00
3,364.05
5,000.00
222.20
3.92%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 16 of 33
EFTA01570317
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Price
Non-US Fixed Income
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
$551,306.74
$586,405.16
($35,098.42)
$24,637.97
$17,756.49
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
4.79%
0.01 1,300,000,000.00
147,628.00
150,112.11
(2,484.11)
9,368.07
6,936.28
5.55%
1.89
6,700,000.00
126,795.49
143,232.17
(16,436.68)
4,101.20
3,832.16
6.87%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
EFTA01570318
Accrued Interest
Yield
95.55
150,000.00
143,319.00
150,000.00
(6,681.00)
4,125.00
Page 17 of 33
EFTA01570319
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
88,373.68
Ending
Estimated Value
90,156.84
Change
In Value
1,783.16
Current
Allocation
1%
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 IE00B3BMD843 SEDOL B3BMD84
695421-91-7 GBP
20.67
4,361.513
90,156.84
90,364.18
(207.34)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Period Value
90,156.84
90,364.18
(207.34)
Page 18 of 33
EFTA01570320
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
19,445.38
$19,445.38
$4,882,727.78
* 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
4,992.41
147.66
$5,140.07
12,590.90
4,972,118.20
3,169.09
$4,987,878.19
(1,419,530.95)
($1,419,530.95)
149,167.97
$149,167.97
-$0.00
$0.00
Period
Value
4,858,142.33
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
EFTA01570321
-$0.00
$0.00
$0.00
$0.00
$0.00
-Page
19 of 33
EFTA01570322
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary - U S Dollar
Current
Cost Adjustments
Amortization
Cost Adjustments
Total Cost Adjustments
($451.72)
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/1
2/1
2/1
2/1
2/2
2/2
2/3
2/3
2/6
Div Domest
Div Domest
Interest Income
Interest Income
Misc Receipt
Misc Receipt
Misc Receipt
Misc Receipt
Misc Receipt
Description
BB & T CORP @ 0.16 PER SHARE (ID: 054937-10-7)
AT&T INC @ 0.44 PER SHARE (ID: 00206R-10-2)
DEPOSIT SWEEP INTEREST FOR JAN. @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $1,258,956.82 AS
OF 02/01/12
COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE
(ID: 222388-20-9)
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
TRANSFER FROM SANFORD BERNSTEIN
4,200.000
0.438
1,837.50
52.50
32.50
1.10
EFTA01570323
44.53
0.01
Page 20 of 33
Quantity
Cost
309.000
1,000.000
Per Unit
Amount
0.16
0.44
PRINCIPAL
Amount
49.44
440.00
12.04
INCOME
Amount
Period Value
(451.72)
Year-To-Date
Value*
(594.82)
9,237.41
$8,642.59
EFTA01570324
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
2/6
2/13
2/15
Misc Receipt
Corporate Interest
Municipal Interest
Description
TRANSFER FROM SANFORD BERNSTEIN
GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE
NOTE MAY 11 2016 DTD 05/11/2007
(ID: 36962G-2V-5)
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 (ID: 090874-FV-5)
2/22
2/22
2/24
Div Domest
Foreign Dividend
Div Domest
Total Inflows & Outflows
APACHE CORP @ 0.15 PER SHARE (ID: 037411-10-5)
COVIDIEN PLC NEW @ 0.225 PER SHARE
(ID: G2554F-11-3)
CITIGROUP INC NEW @ 0.01 PER SHARE
(ID: 172967-42-4)
358.000
0.01
3.58
$5,140.07
95.000
236.000
0.15
0.225
14.25
53.10
100,000 000
0.025
2,500.00
50,000.000
0.002
Quantity
Cost
Per Unit
Amount
EFTA01570325
PRINCIPAL
Amount
17.02
82.50
INCOME
Amount
Page 21 of 33
EFTA01570326
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
TRADE ACTIVITY
Note:
S
*
Trade Date
Settle Date
1/27
2/1
1/27
2/1
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
COVIDIEN PLC NEW @ 51.65847 12,191.40 BROKERAGE
14.16 TAX &/OR SEC .24 J.P. MORGAN SECURITIES
LLC (ID: G2554F-11-3)
COGNIZANT TECHNOLOGY SOLUTIONS CORP CL A @
71.32 7,274.64 BROKERAGE 6.12 TAX &/OR SEC .14
J.P. MORGAN SECURITIES LLC (ID: 192446-10-2)
Total Settled Sales/Maturities/Redemptions
$19,445.38
($19,135.19)
$310.19 S
(102.000)
71.259
7,268.38
(7,275.16)
(6.78) S*
Quantity
(236.000)
Per Unit
Amount
51.597
Proceeds
12,177.00
Tax Cost
(11,860.03)
Realized
Gain/Loss
316.97 S*
COST ADJUSTMENTS
Settle Date
EFTA01570327
2/15
Type
Amortization
Description
BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM
SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD
01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL
02/15/2017 @ 100 MUNICIPAL BOND PREMIUM
AMORTIZATIO (ID: 090874-FV-5)
Quantity
100,000.000
Cost Basis
Adjustments
(451.72)
Page 22 of 33
EFTA01570328
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary - Canadian Dollar
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
-54.72
$54.72
(54.72)
($54.72)
-Year-To-Date
Value*
-118.92
$118.92
(118.92)
($118.92)
-Local
EFTA01570329
Value
Current
Period Value
0.00
54.62
54.62
(54.62)
(54.62)
0.00
Year-To-Date
Value*
-119.88
119.88
(119.88)
(119.88)
-Page
23 of 33
EFTA01570330
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/7
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527L9-9H-2)
2/7
2/7
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
2/7
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 01/31/2012 MATURITY 02/07/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527L9-9H-2)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/07/2012 MATURITY 02/14/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527P9-9Q-8)
2/14
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/07/2012 MATURITY 02/14/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527P9-9Q-8)
2/14
2/14
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
0.6100% DATED 02/07/2012 MATURITY 02/14/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527P9-9Q-8)
(13.650)
(115,112.450)
(13.65)
115,112.450
13.65
EFTA01570331
115,112.450
(13.650)
(115,098.800)
(13.71)
(13.65)
Quantity
115,098.800
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
13.71
13.65
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 24 of 33
EFTA01570332
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/14
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/14/2012 MATURITY 02/21/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527S9-9X-0)
2/21
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/14/2012 MATURITY 02/21/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527S9-9X-0)
2/21
2/21
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Free Delivery
High Cost
2/21
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/14/2012 MATURITY 02/21/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527S9-9X-0)
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/21/2012 MATURITY 02/28/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527V9-9H-1)
2/28
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/21/2012 MATURITY 02/28/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527V9-9H-1)
2/28
2/28
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
0.6100% DATED 02/21/2012 MATURITY 02/28/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527V9-9H-1)
EFTA01570333
(13.660)
(115,139.760)
(13.66)
115,139.760
13.66
115,139.760
(13.660)
(115,126.100)
(13.70)
(13.66)
115,126.100
13.70
13.66
Quantity
115,126.100
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 25 of 33
EFTA01570334
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/28
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6100% DATED 02/28/2012 MATURITY 03/06/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527Y9-9L-9)
Total Inflows & Outflows
$0.00
Quantity
115,153.420
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 26 of 33
EFTA01570335
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
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
Beginning Cash Balance
-174.34
$174.34
(174.34)
($174.34)
Year-To-Date
Value*
-251.42
$251.42
(103,211.82)
($103,211.82)
102,960.95
$102,960.95
-Local
Value
Current
Period Value
0.00
1,000.61
1,000.61
(1,000.61)
(1,000.61)
Year-To-Date
Value*
-1,457.69
1,457.69
(593,610.35)
(593,610.35)
EFTA01570336
0.00
0.00
592,152.66
592,152.66
-Page
27 of 33
EFTA01570337
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary - Norwegian Krone
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 - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/3
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2527K9-9B-6)
2/3
2/3
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1.0000% DATED 01/27/2012 MATURITY 02/03/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527K9-9B-6)
(238.170)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1,224,867.030 )
(40.90)
(238.17)
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,224,867.030
1.0000% DATED 01/27/2012 MATURITY 02/03/2012
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
40.90
238.17
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Period Value
EFTA01570338
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
28 of 33
EFTA01570339
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/3
Receipt of Assets
Description
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,105.200
1.0000% DATED 02/03/2012 MATURITY 02/10/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527N9-9R-8)
2/10
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,105.200
1.0000% DATED 02/03/2012 MATURITY 02/10/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527N9-9R-8)
2/10
2/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
2/10
Receipt of Assets
1.0000% DATED 02/03/2012 MATURITY 02/10/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527N9-9R-8)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,343.410
1.0500% DATED 02/10/2012 MATURITY 02/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527R9-9W-3)
2/17
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,343.410
1.0500% DATED 02/10/2012 MATURITY 02/17/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527R9-9W-3)
2/17
2/17
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
1.0500% DATED 02/10/2012 MATURITY 02/17/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527R9-9W-3)
(250.170)
EFTA01570340
JP MORGAN CHASE BANK NOK LONDON TIME DEPOSITS (1,225,343.410 )
(43.26)
(250.17)
43.26
250.17
(238.210)
JP MORGAN CHASE BANK NOK LONDON TIME DEPOSITS (1,225,105.200 )
(41.44)
(238.21)
41.44
238.21
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 29 of 33
EFTA01570341
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/17
Receipt of Assets
Description
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,593.580
1.1500% DATED 02/17/2012 MATURITY 02/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527U9-9X-7)
2/24
Foreign Interest
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,593.580
1.1500% DATED 02/17/2012 MATURITY 02/24/2012
HELD BY LONDON TREASURY SERVICES
(ID: 2527U9-9X-7)
2/24
2/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Free Delivery
High Cost
2/24
Receipt of Assets
1.1500% DATED 02/17/2012 MATURITY 02/24/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527U9-9X-7)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,225,867.640
1.1500% DATED 02/24/2012 MATURITY 03/02/2012
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2527X9-9W-6)
Total Inflows & Outflows
$0.00
(274.060)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1,225,593.580 )
(48.74)
(274.06)
48.74
274.06
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
EFTA01570342
Currency
Gain/Loss USD
Page 30 of 33
EFTA01570343
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Withdrawals
Tax Payments
Total Outflows
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
$0.00
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
-(266.98)
($266.98)
Period
Value
Beginning Cash Balance
-2,615.93
$2,615.93
Year-To-Date
Value*
-3,755.79
$3,755.79
(93.65)
(313.72)
($407.37)
532,425.39
$532,425.39
-(165.66)
(165.66)
Local
Value
Current
Period Value
349,139.99
1,656.65
1,656.65
Year-To-Date
Value*
-2,397.83
2,397.83
EFTA01570344
(60.73)
(195.63)
(256.36)
0.00
350,630.98
329,716.00
329,716.00
-Page
31 of 33
EFTA01570345
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
Portfolio Activity Summary - Pound Sterling
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
US Dollar Value
Current
Cost Adjustments
Cost Adjustments
Total Cost Adjustments
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/1
Foreign Dividend
Description
MARSTON'S PLC ISIN GBOOBUQDM80 SEDOL BUQDM8 @
0.041111 PER SHARE (ID: G58512-91-7)
Quantity
30,000.000
Amount USD
Local Value
0.065
0.041
PRINCIPAL
Amount USD
Local Value
1,946.26
1,233.33
Page 32 of 33
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Period Value
$0.00
Year-To-Date
Value*
19,023.08
$19,023.08
EFTA01570346
0.00
Local Value
Current
Period Value
Year-To-Date
Value*
12,117.00
12,117.00
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
EFTA01570347
GHISLAINE MAXWELL ACCT.
For the Period 2/1/12 to 2/29/12
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
2/1
2/3
2/3
2/3
2/3
FGN Tax Withheld
Foreign Dividend
FGN Tax Withheld
Foreign Dividend
FGN Tax Withheld
Total Inflows & Outflows
Description
MARSTON'S PLC ISIN GBOOBUQDM80 SEDOL BUQDM8
TAX WITHHELD UNITED KINGDOM 10.00%
(ID: OGBPPR-AA-9)
VODAFONE GROUP PLC ISIN GBOOB16GWD56 SEDOL
B16GWD5 @ .033889 PER SHARE (ID: 92857W-92-8)
VODAFONE GROUP PLC ISIN GBOOB16GWD56 SEDOL
B16GWD5 TAX WITHHELD UNITED KINGDOM 10.00%
(ID: OGBPPR-AA-9)
VODAFONE GROUP PLC ISIN GBOOB16GWD56 SEDOL
B16GWD5 @ 0.044444 PER SHARE (ID: 92857W-92-8)
VODAFONE GROUP PLC ISIN GBOOB16GWD56 SEDOL
B16GWD5 TAX WITHHELD UNITED KINGDOM 10.00%
(ID: OGBPPR-AA-9)
$2,348.95
$0.00
5,404.000
(24.020)
0.07
0.044
379.95
240.18
(38.71)
(24.02)
5,404.000
(18.310)
0.054
0.034
289.72
183.14
(29.51)
(18.31)
Quantity
(123.330)
EFTA01570348
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(198.76)
(123.33)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 33 of 33
EFTA01570349
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01570350
For the Period 2/1/12 to 2/29/12
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.
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
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.
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.
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.
Valuations of over-the-counter derivative transactions, including certain
EFTA01570351
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.
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
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).
Disclosures Page 1 of 5
EFTA01570352
For the Period 2/1/12 to 2/29/12
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 ASSET ACCOUNT(S)
(LINKED TO JPMS)
Your Asset Account consists of a bank account that custodies assets linked
to a brokerage account through which securities transactions are executed.
As a result, the Asset Account statement(s) reflect
brokerage transactions executed through JPMS but (except for exchange listed
options) held in custody at JPMCB. Securities purchased or sold through JPMS
in U.S. markets (other then mutual
funds) are cleared through an affiliate of JPMS, in non-U.S. markets
securities are cleared through JPMS. Positions in exchange-listed options
are held by JPMCC. For your convenience, however,
positions in exchange-listed options are presented in Asset Account
statement(s) together with other assets held in such account(s). All
pertinent information about your settled and pending purchases
and sales effected through your JPMS account during the period covered by
these statement(s), is summarized in the "Trade Activity" portion of the
statement(s).
In Case of Other Errors or Questions About Your Asset Account Statement(s)
Please review your statement(s) and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your
statement(s). Any oral communication should be
re-confirmed in writing to further protect your rights, including your
rights under the Securities 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)
EFTA01570353
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.
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 JPMCC are protected
by SIPC up to $500,000 per customer, which includes up to $250,000 of
protection for cash. SIPC does not protect
against losses from fluctuations in the value of the securities. Assets held
in custody by JPMCB are not subject to SIPC. You may obtain information
about SIPC, including the SIPC Brochure, on their
website, at "www.sipc.org" or by contacting them at (-
In Case of Errors or Questions About Your Electronic Transfers.
Disclosures Page 2 of 5
EFTA01570354
For the Period 2/1/12 to 2/29/12
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of your statements or write us at 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
ℹ️ Document Details
SHA-256
8481d84b42e1e9b3f36a021b818642b33f5c69b17d04a2535c8b97e5048f9739
Bates Number
EFTA01570284
Dataset
DataSet-10
Document Type
document
Pages
77
Comments 0