📄 Extracted Text (15,764 words)
GHISLAINE MAXWELL
EFTA01567052
EFTA01567053
For the Period 12/1/13 to 12/31/13
Account Summary
Account
Number
Investment Account(s)
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
i
Total Value
1
Beginning Net
Market Value
5,207,883.66
430.00
1,922,706.42
1,030,494.11
999,577.42
$9,161,091.61
Ending Net
Market Value
5,259,275.95
430.00
1,967,979.33
1,036,516.92
1,003,477.16
$9,267,679.36
This account summary is provided for informational purposes and includes
assets at different entities.
(1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit
Insurance Corporation ("FDIC"), except for exchangelisted
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions are generally cleared through
JPMCC, a wholly owned subsidiary of 3PMS. Please see
"Additional Information About Your Accounts" at the end of the Asset Account
Statement.
(2) Assets held in Margin Account at JPMCC, member Financial Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through JPMCC.
Please see disclosures located at the end of this statement package for
important information relating to each 3.P.Morgan account(s).
EFTA01567054
Change
In Value
51,392.29
0.00
45,272.91
6,022.81
3,899.74
$106,587.75
Start on
Page
4
35
39
53
72
Client News
2013 Year-End Tax 1099's
You will be able to view your 2013 Form 1099 online
beginning February 21, 2014. Unless you have selected
edelivery, you should expect to receive them via mail
shortly thereafter. You may contact your J.P. Morgan
Team with any questions.
0000040693.00.0.9E.00001.MAXWE04.20140103
Consolidated Statement Page 1
EFTA01567055
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567056
For the Period 12/1/13 to 12/31/13
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
3,141,230.80
674,481.29
5,171,721.21
162,193.27
$9,149,626.57
11,465.04
$9,161,091.61
Ending
Market Value
3,236,068.58
691,675.62
5,164,464.07
162,555.11
$9,254,763.38
12,915.98
$9,267,679.36
Change
In Value
94,837.78
17,194.33
(7,257.14)
361.84
$105,136.81
1,450.94
$106,587.75
Equity
$194,121.45
Estimated
114,390.26
14,936.58
64,794.61
Current
Annual Income Allocation
35%
7%
56%
2%
100%
EFTA01567057
Alternative
Assets
Asset Allocation
Other
Cash &
Fixed Income
Current
Portfolio Activity
Beginning Market Value
Net Contributions/Withdrawals
Income & Distributions
Change in Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
9,149,626.57
(764.56)
18,040.92
87,860.45
$9,254,763.38
12,915.98
$9,267,679.36
Year-to-Date
Value
8,349,688.16
(325,069.71)
100,658.54
1,129,486.39
$9,254,763.38
12,915.98
$9,267,679.36
This Consolidated Summary shows all of your investments at J.P. Morgan other
than investments we hold in trust for you. These investments may be held in
custody or investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel take discretion over any client accounts.
Such advice and services are provided exclusively by the Bank.
Consolidated Statement Page 2
EFTA01567058
For the Period 12/1/13 to 12/31/13
Consolidated Summary
INVESTMENT ACCOUNT(S) YEAR-TO-DATE
Portfolio Activity
GHISLAINE MAXWELL
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Tax Summary
GHISLAINE MAXWELL
GHISLAINE MAXWELL - OAP IHD
GHISLAINE MAXWELL - TAP DYS
GHISLAINE MAXWELL - TAP ARFI
Total Value
Account
Number
Account
i
Number
Beginning
Market Value
8,349,258.16
430.00
0.00
0.00
0.00
$8,349,688.16
Taxable
Income
(16,786.16)
55,724.05
34,700.57
21,124.92
$94,763.38
Net Contributions/
Withdrawals
(4,048,720.08)
1,732,436.88
995,069.57
996,143.92
($325,069.71)
EFTA01567059
Tax-Exempt
Income
5,895.16
(27,112.21)
(7,726.32)
(4,262.78)
$5,895.16
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
($39,101.31)
Other Income
& Receipts
Income &
Distributions
(10,891.00)
55,724.05
34,700.57
21,124.92
$100,658.54
Change in
Investment Value
961,476.79
176,004.82
6,487.46
(14,482.68)
$1,129,486.39
Realized Gain/Loss
Short-term
Long-term
(70,215.20)
4.44
4,702.44
137.97
($65,370.35)
Ending Market Value
with Accruals
5,259,275.95
430.00
1,967,979.33
1,036,516.92
1,003,477.16
$9,267,679.36
Unrealized
Gain/Loss'
101,703.45
203,112.59
9,511.34
(10,357.87)
$303,969.51
CONTINUED
Consolidated Statement Page 3
EFTA01567060
EFTA01567061
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
, New York, NY 10017-2014
ACCT.
For the Period 12/1/13 to 12/31/13
Asset Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Page
2
5
8
9
14
16
Account Page 1 of 31
Consolidated Statement Page 4
EFTA01567062
GHISLAINE MAXWELL
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,084,470.72
59,695.64
3,896,207.83
162,193.27
$5,202,567.46
5,316.20
$5,207,883.66
Ending
Market Value
1,133,131.66
57,276.79
3,898,160.31
162,555.11
$5,251,123.87
8,152.08
$5,259,275.95
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
(217.83)
1,305,267.00
(1,304,893.11)
$156.06
1,758.86
46,641.49
$5,251,123.87
8,152.08
$5,259,275.95
Period Value
EFTA01567063
5,202,567.46
Change
In Value
48,660.94
(2,418.85)
1,952.48
361.84
$48,556.41
2,835.88
$51,392.29
Year-to-Date
Value
8,349,258.16
849,480.50
(4,019,709.94)
15,927,543.47
(16,806,034.11)
($4,048,720.08)
(10,891.00)
961,476.79
$5,251,123.87
8,152.08
$5,259,275.95
Estimated
48,356.57
21,448.08
$69,804.65
Current
Annual Income Allocation
23%
1%
73%
3%
100%
Equity
Other
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
ACCT.
For the Period 12/1/13 to 12/31/13
Account Page 2 of 31
Consolidated Statement Page 5
EFTA01567064
GHISLAINE MAXWELL
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
603.19
915.82
239.85
$1,758.86
Year-to-Date
Value
15,602.97
12,280.51
(112,795.80)
68,126.16
($16,786.16)
10,000.00
(4,104.84)
$5,895.16
Unrealized Gain/Loss
To-Date Value
$101,703.45
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
23.87
$23.87
Year-to-Date
Value
(70,215.20)
($70,215.20)
ACCT.
For the Period 12/1/13 to 12/31/13
Note: * This summary is for informational purposes only and is not to be
used for any financial or tax purposes. This summary does not include
securities which are taxable at the
federal level but are state exempt. This summary may not include all income
derived from Municipal Securities; Please consult your tax advisor for tax
implications.
1 Other category combines all the remaining Tax Exempt Income generated by
securities in the account which may not have a state affiliation.
EFTA01567065
Tax-Exempt Income
Summary by State*
MA
MI
Current
Period Value
Year-to-Date
Value
1,410.07
1,410.85
Tax-Exempt Income
Summary by State*
TX
Tax-Exempt Income
Current
Period Value
Year-to-Date
Value
3,074.24
$5,895.16
Account Page 3 of 31
Consolidated Statement Page 6
EFTA01567066
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
1,034,682.24
3,879,674.23
92,027.29
$5,006,383.76
Account Page 4 of 31
Consolidated Statement Page 7
EFTA01567067
GHISLAINE MAXWELL
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
459,317.45
16,110.00
160.27
443,979.00
164,904.00
$1,084,470 72
Ending
Market Value
511,226.25
14,220.00
169.41
442,270.00
165,246.00
$1,133,131.66
Current
Period Value
1,133,131.66
1,034,682.24
98,449.42
48,356.57
3,090.09
4.25%
Preferred Stocks
Equity as a percentage of your portfolio - 23 %
Change
In Value
51,908.80
(1,890.00)
9.14
(1,709.00)
342.00
$48,660.94
Current
EFTA01567068
Allocation
10%
1%
1%
8%
3%
23%
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Concentrated & Other Equity
Asset Cate ories
ACCT.
For the Period 12/1/13 to 12/31/13
Account Page 5 of 31
Consolidated Statement Page 8
EFTA01567069
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/13 to 12/31/13
Equity Detail
Price
US Large Cap Equity
APACHE CORP
BANK OF AMERICA CORP
CITIGROUP INC NEW
GENERAL MOTORS CO
SCHLUMBERGER LTD
SPDR S&P 500 ETF TRUST
TWITTER INC
52.11
40.87
90.11
184.69
63.65
Total US Large Cap Equity
$511,226.25
$435,852.56
$75,373.69
$5,279.07
$35.31
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
1.03%
2,000.000
127,300.00
90,320.00
36,980.00
1,495.000
276,111.55
250,407.85
25,703.70
113.000
10,182.43
9,524.04
658.39
141.25
35.31
5,009.74
1.39%
EFTA01567070
1.81%
1,373.000
56,114.51
50,000.00
6,114.51
358.000
18,655.38
14,048.52
4,606.86
14.32
0.08%
15.57
944.000
14,698.08
10,148.85
4,549.23
37.76
0.26%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
85.94
95.000
8,164.30
11,403.30
(3,239.00)
76.00
0.93%
4.74
3,000.000
14,220.00
18,129.32
(3,909.32)
Account Page 6 of 31
Consolidated Statement Page 9
EFTA01567071
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Price
Non-US Equity
RIO TINTO PLC
ISIN SEDOL
766994-90-9 BP
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
COUNTRYWIDE CAPITAL V
7% PFD
3PM CHASE CAPITAL XXIX
6.7% PFD
Total Preferred Stocks
25.32
2,500.000
63,300.00
$442,270.00
62,500.00
$422,578.96
800.00
$19,691.04
4,187.50
1,046.88
$31,227.50
$1,046.88
Concentrated & Other Equity
JPMORGAN CHASE & CO
VAR RT PFD STK 04/30/2049
DTD 04/23/2008
6.62%
7.06%
25.35
4,200.000
106,470.00
98,778.96
7,691.04
7,350.00
6.90%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
EFTA01567072
Accrued Div.
Yield
56.47
3.000
169.41
212.23
(42.82)
27.25
10,000.000
272,500.00
261,300.00
11,200.00
19,690.00
7.23%
110.16
150,000.000
165,246.00
157,909.17
7,336.83
11,850.00
2,007.90
7.11%
Account Page 7 of 31
Consolidated Statement Page 10
EFTA01567073
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
59,695.64
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JE0081VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
$57,276.79
$76,999.78
116.12
190.000
22,062.80
31,931.40
116.99
301.000
35,213.99
45,068.38
Quantity
Estimated
Value
Cost
Est. Annual Income
Accrued Income
Ending
Estimated Value
57,276.79
Change
In Value
(2,418.85)
Current
Allocation
1%
Account Page 8 of 31
Consolidated Statement Page 11
EFTA01567074
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
2,789,302.30
0.00
313,596.00
629,279.37
164,030.16
$3,896,207.83
Ending
Market Value
2,789,951.38
919.76
315,070.53
629,040.76
163,177.88
$3,898,160.31
Current
Period Value
3,898,160.31
3,879,674.23
18,486.08
21,448.08
5,061.99
0.42%
Change
In Value
649.08
919.76
1,474.53
(238.61)
(852.28)
$1,952.48
Current
Allocation
EFTA01567075
51%
1%
6%
12%
3%
73%
Non-US Fixed Income
Non-USD Cash
Non-USD Short Term
Cash
Asset Categories
US Fixed Income
Cash & Fixed Income as a percentage of your portfolio 73 %
Account Page 9 of 31
Consolidated Statement Page 12
EFTA01567076
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
3,372,283.31
310,500.50
215,376.50
$3,898,160.31
% of Bond
Portfolio
88%
7%
5%
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 MMKT FD - MORGAN
FUND 3
7-Day Annualized Yield: .01%
Total Cash
1.00
1.00
2,789,950.38
1.00
2,789,950.38
1.00
$2,789,951.38
2,789,950.38
1.00
$2,789,951.38
$0.00
$278.99
$23.25
0.01%
EFTA01567077
278.99
23.25
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
Total Value
Market
Value
2,789,951.38
919.76
310,500.50
215,376.50
559,808.17
21,604.00
$3,898,160.31
% of Bond
Portfolio
72%
1%
7%
5%
14%
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.
Account Page 10 of 31
Consolidated Statement Page 13
EFTA01567078
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Price
Non-USD Cash
POUND STERLING
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
LONDON TIME DEPOSITS 0.6200%
DATED 12/27/2013 MATURITY 01/06/2014
HELD BY LONDON TREASURY SERVICES
Bearer
2538E9-9D-6 AD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.9500%
DATED 12/27/2013 MATURITY 01/07/2014
HELD BY LONDON TREASURY SERVICES
Bearer
2538E9-9P-9 OK
Total Non-USD Short Term
$315,070.53
$324,438.09
($9,367.56)
$2,631.54
$36.34
US Fixed Income
JPM MANAGED RESERVES FD - GBP-C-DIST
ISIN LU0539309053
051398-91-5 BP
ISHARES GBP CORPORATE BOND UCITS ETF
ISIN IE00B00FV011 SEDOL BOOFV01
461278-91-3 BP
10,541.52
12/30/13
205.75
12/30/13
7.74
105.00
81,559.76
21,604.00
81,082.31
19,023.08
477.45
2,580.92
0.85%
16.48
1,246,698.26
205,493.50
210,424.89
(4,931.39)
1,952.18
26.92
EFTA01567079
0.96%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
1.66
555.33
919.76
915.82
3.94
94.12
116,425.59
109,577.03
114,013.20
(4,436.17)
679.36
9.42
0.63%
Account Page 11 of 31
Consolidated Statement Page 14
EFTA01567080
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/13 to 12/31/13
Price
US Fixed Income
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /BAA
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /A1
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
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
108.08
100,000.00
108,080.00
106,439.76
110,503.00
1,640.24
5,000.00
1,888.80
4.27%
109.75
50,000.00
54,874.50
53,163.85
55,424.00
1,710.65
2,500.00
625.00
4.01%
105.14
150,000.00
157,702.50
EFTA01567081
150,000.00
7,702.50
5,400.00
690.00
1.76%
99.66
50,000.00
49,831.00
45,394.50
4,436.50
237.55
33.65
0.62%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
102.97
100,000.00
102,967.00
100,000.00
2,967.00
2,900.00
612.20
1.22%
Account Page 12 of 31
Consolidated Statement Page 15
EFTA01567082
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/13 to 12/31/13
Price
US Fixed Income
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
$629,040.76
$606,863.62
$615,466.89
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 BP
ISHARES GBP INDEX-LINKED GILTS
UCITS ETF
ISIN IE00B1FZSD53 SEDOL B1G52V0
46578W-92-2 BP
Total Non-US Fixed Income
$163,177.88
$157,505.32
$5,672.56
$0.00
0.00%
214.21
12/27/13
21.23
12/30/13
5,790.00
122,928.71
118,212.32
4,716.39
187.90
40,249.17
39,293.00
956.17
$22,177.14
$18,537.55
$5,002.40
2.16%
104.84
50,000.00
52,422.00
51,760.12
54,040.00
661.88
EFTA01567083
2,500.00
1,152.75
4.61%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 13 of 31
Consolidated Statement Page 16
EFTA01567084
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
162,193.27
Ending
Estimated Value
162,555.11
Change
In Value
361.84
Current
Allocation
3%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
162,555.11
92,027.29
4,490.94
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.
Other Detail
Price
Balanced
JPM INC OPP FD - GBP - A - DIST(HDG)
ISIN LU0323456201
287991-93-9 BP
150.35
12/30/13
450.272
67,699.99
1,663.11 **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
EFTA01567085
Account Page 14 of 31
Consolidated Statement Page 17
EFTA01567086
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced
$162,555.11
$92,027.29
$4,490.94
21.75
12/30/13
4,361.513
94,855.12
90,364.18
4,490.94
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Account Page 15 of 31
Consolidated Statement Page 18
EFTA01567087
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
23.87
$23.87
$2,789,950.38
17,214.47
(340,727.85)
($323,513.38)
-$0.00
$0.00
$0.00
-$625.21
Period
Value
2,789,301.30
625.21
Year-To-Date
Value*
-79,713.89
849,480.50
323,460.34
$1,252,654.73
(4,000,000.00)
($4,000,000.00)
$0.00
$0.00
INCOME
Current
Period
Value
0.00
Year-To-Date
EFTA01567088
Value*
-$0.00
$0.00
Current
Securities
Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
53,176.29
(53,020.00)
Year-To-Date
Value*
53,176.29
(53,020.00)
Account Page 16 of 31
Consolidated Statement Page 19
EFTA01567089
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary - U S Dollar
Total Cost Adjustments
Current
Cost Adjustments
Amortization
Period Value
$0.00
* 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 - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
12/2
12/2
12/27
Interest Income
Div Domest
Div Domest
Total Inflows & Outflows
Description
DEPOSIT SWEEP INTEREST FOR 11/01/13 - 11/30/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$2,728,923.61 AS OF 12/01/13
GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE
(ID: 37045V-20-9)
BANK OF AMERICA CORP @ 0.01 PER SHARE
(ID: 060505-10-4)
1,000.000
944.000
0.594
0.01
593.75
9.44
$625.21
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
22.02
INCOME
Amount
Year-To-Date
Value*
(4,104.84)
EFTA01567090
($4,104.84)
Account Page 17 of 31
Consolidated Statement Page 20
EFTA01567091
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
12/2
Description
NonTaxableExchange GENERAL MOTORS CO MANDATORY CONVERSION
HOLDERS RECEIVE 1.37360 COMMON SHARES FOR EACH
SERIES-B PREFERRED SHARE OF GENERAL MOTORS
COMPANY, CUSIP: 37045V209, HELD.
(ID: 37045V-10-0)
Securities Transferred Out
12/2
Exchange
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
1,373.000
50,000.00
Transaction
Market Value *
53,176.29
GENERAL MOTORS CO CV PFD B MANDATORY CONVERSION
- HOLDERS RECEIVE 1.37360 COMMON SHARES OF
GENERAL MOTORS COMPANY, CUSIP: 37045V100, FOR
EACH SERIES-B PREFERRED SHARE HELD.
(ID: 37045V-20-9)
(1,000.000)
50,000.00
(53,020.00)
Account Page 18 of 31
Consolidated Statement Page 21
EFTA01567092
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
TRADE ACTIVITY
Note:
Trade Date
Settle Date
12/24
12/24
L indicates Long Term Realized Gain/Loss
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Cash In Lieu
GENERAL MOTORS CO CASH IN LIEU OF FRACTIONAL
SHARES (ID: 37045V-10-0)
Quantity
0.600
Per Unit
Amount
39.783
Proceeds
23.87
Tax Cost
Realized
Gain/Loss
23.87 L
Account Page 19 of 31
Consolidated Statement Page 22
EFTA01567093
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
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
Period Value
-56.57
$56.57
(56.57)
($56.57)
-Year-To-Date
Value*
-696.15
$696.15
(696.15)
($696.15)
-Local
Value
Current
Period Value
0.00
60.13
60.13
(60.13)
(60.13)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01567094
Year-To-Date
Value*
--Year-To-Date
Value*
-717.26
717.26
(717.26)
(717.26)
-Account
Page 20 of 31
Consolidated Statement Page 23
EFTA01567095
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary - Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
438,012.80
(437,956.23)
Year-To-Date
Value*
5,294,776.84
(5,748,957.98)
* 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
12/4
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 11/27/2013 MATURITY 12/04/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537V9-9F-4)
12/4
12/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/04/2013 MATURITY 12/11/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537X9-9M-7)
12/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(14.030)
(13.21)
(14.03)
Account Page 21 of 31
Consolidated Statement Page 24
(14.030)
116,379.490
(13.17)
(14.03)
EFTA01567096
13.21
14.03
Quantity
116,365.460
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
13.17
14.03
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01567097
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/18
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/11/2013 MATURITY 12/18/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2537Z9-9R-4)
12/18
12/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/18/2013 MATURITY 12/27/2013
HELD BY LONDON TREASURY SERVICES
(ID: 253869-9Q-0)
12/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
12/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/04/2013 MATURITY 12/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537X9-9M-7)
(18.040)
(16.96)
(18.04)
$0.00
(14.030)
116,407.550
(13.23)
(14.03)
16.96
18.04
Quantity
116,393.520
Amount USD
Local Value
EFTA01567098
PRINCIPAL
Amount USD
Local Value
13.23
14.03
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
116,379.490
113,969.80
Transaction
Market Value *
109,230.36
Account Page 22 of 31
Consolidated Statement Page 25
EFTA01567099
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred In
12/11
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/11/2013 MATURITY 12/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537Z9-9R-4)
12/18
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/18/2013 MATURITY 12/27/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253869-9Q-0)
12/27
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/27/2013 MATURITY 01/06/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538E9-9D-6)
Total Securities Transferred In
Securities Transferred Out
12/4
Free Delivery
$438,012.80
116,425.590
114,013.20
109,427.69
116,407.550
113,996.24
109,761.49
Quantity
Cost
116,393.520
113,983.01
Transaction
Market Value *
109,593.26
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 11/27/2013 MATURITY 12/04/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537V9-9F-4)
EFTA01567100
12/11
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/04/2013 MATURITY 12/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537X9-9M-7)
(116,379.490)
113,969.80
(109,580.05)
(116,365.460)
113,956.63
(109,217.19)
Account Page 23 of 31
Consolidated Statement Page 26
EFTA01567101
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
12/18
Free Delivery
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/11/2013 MATURITY 12/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537Z9-9R-4)
12/27
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 12/18/2013 MATURITY 12/27/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253869-9Q-0)
Total Securities Transferred Out
($437,956.23)
(116,407.550)
113,996.24
(109,410.73)
Quantity
Cost
(116,393.520)
113,983.01
Transaction
Market Value *
(109,748.26)
Account Page 24 of 31
Consolidated Statement Page 27
EFTA01567102
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-161.26
$161.26
(161.26)
($161.26)
-Year-To-Date
Value*
-1,953.36
$1,953.36
(1,953.36)
($1,953.36)
-Local
Value
Current
Period Value
0.00
986.48
986.48
(986.48)
(986.48)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01567103
Year-To-Date
Value*
--Year-To-Date
Value*
-11,462.29
11,462.29
(11,462.29)
(11,462.29)
-Account
Page 25 of 31
Consolidated Statement Page 28
EFTA01567104
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary - Norwegian Krone
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
814,077.91
(813,916.88)
Year-To-Date
Value*
10,579,590.34
(11,004,056.13)
* 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
12/4
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2537V9-9P-2)
12/4
12/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2537X9-9X-3)
12/11
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(230.150)
(37.67)
(230.15)
Account Page 26 of 31
Consolidated Statement Page 29
(230.110)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,245,941.890
0.9500% DATED 12/04/2013 MATURITY 12/11/2013
(37.74)
(230.11)
37.67
230.15
Quantity
EFTA01567105
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,245,711.780
0.9500% DATED 11/27/2013 MATURITY 12/04/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
37.74
230.11
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01567106
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/18
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2537Z9-9Y-9)
12/18
12/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 253869-9X-5)
12/27
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Total Inflows & Outflows
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
12/4
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/04/2013 MATURITY 12/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537X9-9X-3)
(296.020)
(48.34)
(296.02)
$0.00
(230.200)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,246,402.240
0.9500% DATED 12/18/2013 MATURITY 12/27/2013
(37.51)
(230.20)
48.34
296.02
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,246,172.040
0.9500% DATED 12/11/2013 MATURITY 12/18/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
EFTA01567107
Local Value
37.51
230.20
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Quantity
Cost
1,245,941.890
210,301.37
Transaction
Market Value *
204,341.53
Account Page 27 of 31
Consolidated Statement Page 30
EFTA01567108
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred In
12/11
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/11/2013 MATURITY 12/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537Z9-9Y-9)
12/18
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/18/2013 MATURITY 12/27/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253869-9X-5)
12/27
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/27/2013 MATURITY 01/07/2014
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2538E9-9P-9)
Total Securities Transferred In
Securities Transferred Out
12/4
Free Delivery
$814,077.91
1,246,698.260
210,424.89
202,693.74
1,246,402.240
210,376.55
203,074.82
Quantity
Cost
1,246,172.040
210,339.04
Transaction
Market Value *
203,967.82
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 11/27/2013 MATURITY 12/04/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537V9-9P-2)
EFTA01567109
12/11
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/04/2013 MATURITY 12/11/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537X9-9X-3)
(1,245,941.890 )
210,301.37
(203,930.15)
(1,245,711.780 )
210,263.63
(204,303.80)
Account Page 28 of 31
Consolidated Statement Page 31
EFTA01567110
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Notes:
* Transaction Market Value is representative of the prior trading day's
market value. This is for informational purposes only and is not to be used
for any financial or tax
purposes. The Transaction Market Value shown is in USD.
Type
Settle Date Selection Method
Securities Transferred Out
12/18
Free Delivery
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/11/2013 MATURITY 12/18/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2537Z9-9Y-9)
12/27
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 12/18/2013 MATURITY 12/27/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253869-9X-5)
Total Securities Transferred Out
($813,916.88)
(1,246,402.240 )
210,376.55
(202,645.61)
Quantity
Cost
(1,246,172.040 )
210,339.04
Transaction
Market Value *
(203,037.32)
Account Page 29 of 31
Consolidated Statement Page 32
EFTA01567111
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
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 Securities Purchased
$0.00
Ending Cash Balance
-$0.00
Period
Value
Beginning Cash Balance
-915.82
$915.82
Year-To-Date
Value*
-10,516.01
$10,516.01
(17,039.08)
(21.35)
($17,060.43)
(2,588.16)
($2,588.16)
-0.00
Local
Value
Current
Period Value
0.00
555.33
555.33
Year-To-Date
Value*
-6,713.83
6,713.83
(10,547.90)
(13.37)
(10,561.27)
0.00
555.33
EFTA01567112
(1,666.50)
(1,666.50)
-Account
Page 30 of 31
Consolidated Statement Page 33
EFTA01567113
GHISLAINE MAXWELL ACCT.
For the Period 12/1/13 to 12/31/13
Portfolio Activity Summary Pound Sterling
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
* 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 - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
12/20
12/31
Foreign Dividend
Foreign Dividend
Description
ISHARES GBP CORPORATE BOND UCITS ETF ISIN
IE00B00FV011 SEDOL BOOFV01 @ 1.1301 PER SHARE
AS OF 12/18/13 (ID: 461278-91-3)
PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL
INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843
SEDOL B3BMD84 @ 0.100119 PER SHARE CONV. @
"CONV RATE" (ID: 695421-91-7)
Total Inflows & Outflows
$915.82
$0.00
4,361.513
0.165
0.10
721.64
436.67
Quantity
105.000
Amount USD
Local Value
EFTA01567114
1.849
1.13
PRINCIPAL
Amount USD
Local Value
194.18
118.66
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Year-To-Date
Value*
--Account
Page 31 of 31
Consolidated Statement Page 34
EFTA01567115
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01567116
J.P. Morgan Securities LLC
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/13 to 12/31/13
Margin Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Transactions cleared and carried through J.P. Morgan Clearing Corp. Three
Chase Metrotech Center, Brooklyn, NY 11245-0001,
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Portfolio Activity
Page
2
4
Account Page 1 of 4
Consolidated Statement Page 35
EFTA01567117
GHISLAINE MAXWELL
Account Summary
MARGIN
Cash
Asset Allocation
Cash & Fixed Income
Market Value
Market Value
0.00
$0.00
Margin
Market Value
430.00
$430.00
Current
Portfolio Activity
Beginning Market Value
Ending Market Value
Period Value
430.00
$430.00
Short
Market Value
0.00
$0.00
Year-to-Date
Value
430.00
$430.00
Total
430.00
$430.00
Estimated
$0.00
Current
Market Value Annual Income Allocation
100%
100%
ACCT.
For the Period 12/1/13 to 12/31/13
Account Page 2 of 4
Consolidated Statement Page 36
EFTA01567118
GHISLAINE MAXWELL
ACCT.
For the Period 12/1/13 to 12/31/13
Cash & Fixed Income Detail
Quantity
Price
Cash
US DOLLAR
1.00
430.00
Margin
430.00
430.00
Account
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 3 of 4
Consolidated Statement Page 37
EFTA01567119
GHISLAINE MAXWELL
Portfolio Activity Summary
PRINCIPAL
Current
Transactions
Portfolio Activity Detail
Beginning Cash Balance
Ending Cash Balance
Period Value
430.00
$430.00
Year-To-Date
Value
--INCOME
Current
Period
Value
0.00
$0.00
Year-To-Date
Value
--ACCT.
For the Period 12/1/13 to 12/31/13
No Activity This Period
Account Page 4 of 4
Consolidated Statement Page 38
EFTA01567120
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL - OAP IHD
, New York, NY 10017-2014
ACCT.
For the Period 12/1/13 to 12/31/13
Investment Management Account
J.P. Morgan Team
James Buckley
Jason Bell
Janet Young
Gina Magliocco
Jason Grosse
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
Client Service Team
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Page
4
Holdings
Equity
Portfolio Activity
6
12
Account Page 1 of 14
Consolidated Statement Page 39
EFTA01567121
GHISLAINE MAXWELL - OAP IHD
ACCT.
For the Period 12/1/13 to 12/31/13
Account Profile
Banker:
Investment Guidelines
Investment Objective:
JAMES BUCKLEY
Investment Officer:
JASON BELL
Date Opened: 01/25/2013
This account data is based on our most recent records of your account. If
you disagree with any of the information stated here, please contact your
account representative as soon as possible.
J.P. Morgan Private Bank Team
OAP International High Dividend
Asset Category
Non-US Equity
Total Equity
Normal
100.00
100.00
Min
0.00
Max
100.00
Strategic Ranges, Normal Asset Allocation and the preferences expressed in
this document act as general
guidelines for portfolio managers; portfolio holdings may fall outside of
ranges and allocations from time to time as
described in the Investment Management Agreement.
Investment Restrictions:
SEE BELOW
Security Restrictions
Item Category Restricted Item
Custom
Tax Status
Tax Identification Number:
Tax Domicile:
Hi h Federal Tax Bracket:
FLORIDA
Client's account is subject to the highest tax bracket
Country of Residency:
UNITED STATES
All Securities
Restriction Type
Buy/Sell
Restriction
Do Not Bu or Sell Any Shares
Account Page 2 of 14
EFTA01567122
Consolidated Statement Page 40
EFTA01567123
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 12/1/13 to 12/31/13
IRS Circular 230 Disclosure
JPMorgan Chase & Co. and its affiliates do not provide tax advice.
Accordingly, any discussion of U.S. tax matters contained herein (including
any attachments) is not intended or written to be used,
and cannot be used, in connection with the promotion, marketing or
recommendation by anyone unaffiliated with JPMorgan Chase & Co. of any of
the matters addressed herein or for the purpose of
avoiding U.S. tax-related penalties.
Account Details
Remarks
NONE
Authorized Signers:
CAROLYN ROY, GHISLAINE MAXWELL, SCHAFER CULLEN CAPITAL MANAGEMENT
Account Page 3 of 14
Consolidated Statement Page 41
EFTA01567124
GHISLAINE MAXWELL - OAP IHD
Account Summary
Asset Allocation
Equity
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,916,873.36
$1,916,873.36
5,833.06
$1,922,706.42
Ending
Market Value
1,964,165.75
$1,964,165.75
3,813.58
$1,967,979.33
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
(920.62)
($920.62)
6,028.43
42,184.58
$1,964,165.75
3,813.58
$1,967,979.33
Period Value
1,916,873.36
Change
In Value
47,292.39
$47,292.39
(2,019.48)
$45,272.91
Year-to-Date
Value
0.00
1,750,000.00
(17,563.12)
$1,732,436.88
EFTA01567125
55,724.05
176,004.82
$1,964,165.75
3,813.58
$1,967,979.33
Estimated
63,196.52
$63,196.52
Current
Annual Income Allocation
100%
100%
ACCT.
For the Period 12/1/13 to 12/31/13
Account Page 4 of 14
Consolidated Statement Page 42
EFTA01567126
GHISLAINE MAXWELL - OAP IHD
Account Summary
Tax Summary
Foreign Dividends
Interest Income
Taxable Income
CONTINUED
Current
Period Value
6,027.34
1.09
$6,028.43
Year-to-Date
Value
55,717.60
6.45
$55,724.05
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(27,112.21)
4.44
($27,107.77)
ACCT.
For the Period 12/1/13 to 12/31/13
Unrealized Gain/Loss
To-Date Value
$203,112.59
Cost Summary
Equity
Total
1,761,053.16
Cost
$1,761,053.16
Account Page 5 of 14
Consolidated Statement Page 43
EFTA01567127
GHISLAINE MAXWELL - OAP IHD
Equity Summary
Asset Categories
EAFE Equity
Beginning
Market Value
1,916,873.36
Ending
Market Value
1,964,165.75
Change
In Value
47,292.39
Current
Allocation
100%
ACCT.
For the Period 12/1/13 to 12/31/13
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Period Value
1,964,165.75
1,761,053.16
203,112.59
63,196.52
3,813.58
3.21%
Account Page 6 of 14
Consolidated Statement Page 44
EFTA01567128
GHISLAINE MAXWELL - OAP IHD
ACCT.
For the Period 12/1/13 to 12/31/13
Note:
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
Equity Detail
Price
EAFE Equity
ABB LTD
SPONS ADR
000375-20-4 ABB
ALSTOM
ADR
021244-20-7 ALSM Y
ASTRAZENECA PLC
SPONS ADR
046353-10-8 AZN
BAE SYSTEMS PLC
SPONS ADR
05523R-10-7 BAES Y
BAYER A G
SPONS ADR
072730-30-2 BAYR Y
BHP LTD
SPONS ADR
088606-10-8 BHP
BOC HONG KONG HOLDINGS LTD
SPONS ADR
096813-20-9 BHKL Y
64.52
555.000
35,808.60
36,821.52
(1,012.92)
1,748.80
4.88%
68.20
435.000
29,667.00
32,227.68
(2,560.68)
1,009.20
3.40%
29.29
142.00
1,735.000
325.000
EFTA01567129
50,818.15
46,150.00
39,277.38
32,896.77
11,540.77
13,253.23
2,075.06
586.62
4.08%
1.27%
3.60
59.37
12,070.000
365.000
43,452.00
21,670.05
44,210.81
18,351.75
(758.81)
3,318.30
869.04
1,022.00
2.00%
4.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
26.56
2,200.000
58,432.00
47,460.92
10,971.08
1,548.80
2.65%
Account Page 7 of 14
Consolidated Statement Page 45
EFTA01567130
GHISLAINE MAXWELL - OAP IHD ACCT.
For the Period 12/1/13 to 12/31/13
Price
EAFE Equity
BRITISH AMERICAN TOBACCO PLC
SPONS ADR
110448-10-7 BTI
DEUTSCHE TELEKOM AG
SPONS ADR
251566-10-5 DTEG Y
DEUTSCHE POST AG
SPONS ADR
25157Y-20-2 DPSG Y
GDF SUEZ
SPONS ADR
36160B-10-5 GDFZ Y
GLAXOSMITHKLINE PLC
SPONS ADR
37733W-10-5 GSK
HSBC HOLDINGS PLC
SPONS ADR
404280-40-6 HSBC
IMPERIAL TOBACCO PLC
ADR
453142-10-1 ITYB Y
KIRIN HOLDINGS COMPANY LTD
SPONS ADR
497350-30-6 KNBW Y
LUKOIL OAO SPONS ADR
MTN GROUP LTD
677862-10-4
ℹ️ Document Details
SHA-256
881515d6a73fd9837b6dc75b1e423fae5afddcd7022ef5ff7bb78a39b4b46f3b
Bates Number
EFTA01567052
Dataset
DataSet-10
Document Type
document
Pages
155
Comments 0