📄 Extracted Text (5,091 words)
GHISLAINE MAXWELL
EFTA01573564
EFTA01573565
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL-HY
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 4/1/12 to 4/30/12
Investment Management Account
J.P. Morgan Team
Paul Morris
Jason Bell
Janet Young
Gina Magliocco
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.jpmorganonline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Page
2
Holdings
Cash & Fixed Income
Portfolio Activity
4
16
Client News
Effective in the second quarter, we will be implementing a
new pricing procedure with regard to your statements. In
cases where we are unable to obtain a current price from
an internal or external source for a particular security, the
price column on your statement may indicate "unpriced".
Although such securities may have value, please note
that if a security is indicated as "unpriced" it will not be
included in your overall current market value as reflected
on the statement.
0000000893.15.0.15.00001.MAXEW00.20120502
Page 1 of 21
EFTA01573566
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,018,505.78
$1,018,505.78
20,638.69
$1,039,144.47
Ending
Market Value
1,027,400.37
$1,027,400.37
18,006.01
$1,045,406.38
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
1,018,505.78
(3,889.56)
($3,889.56)
8,397.11
4,387.04
$1,027,400.37
18,006.01
$1,045,406.38
Change
In Value
8,894.59
$8,894.59
(2,632.68)
$6,261.91
Year-to-Date
Value
993,756.14
(11,838.14)
($11,838.14)
22,231.46
EFTA01573567
23,250.91
$1,027,400.37
18,006.01
$1,045,406.38
Estimated
69,739.69
$69,739.69
Current
Annual Income Allocation
100%
100%
Page 2 of 21
EFTA01573568
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Account Summary
Tax Summary
Interest Income
Accrued Interest Current Year
Taxable Income
Cash Receipts
Other Income & Receipts
CONTINUED
Current
Period Value
8,600.37
(220.19)
$8,380.18
16.93
$16.93
Year-to-Date
Value
22,702.25
(997.72)
$21,704.53
526.93
$526.93
Unrealized Gain/Loss
To-Date Value
$7,397.25
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
(3,592.39)
($3,592.39)
Cost Summary
Cash & Fixed Income
1,012,898.12
Cost
Total
$1,012,898.12
Page 3 of 21
EFTA01573569
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
5-10 years,
10+ years,
Total Value
1
Market Value
46,113.83
972,391.95
$1,018,505.78
Ending
Market Value
31,927.37
995,473.00
$1,027,400.37
Current
Period Value
1,027,400.37
1,012,898.12
7,397.25
69,739.69
18,006.01
5.94%
SUMMARY BY TYPE
Market
Value
47,958.62
164,507.90
732,927.60
82,006.25
$1,027,400.37
% of Bond
Portfolio
EFTA01573570
4%
16%
73%
7%
100%
The years indicate the number of years until the bond is scheduled to mature
based on the statement end date. Some bonds may be called, or paid in full,
before their stated maturity.
Cash & Fixed Income
Cash
Corporate Bonds
International Bonds
Total Value
Market
Value
31,927.37
984,373.00
11,100.00
$1,027,400.37
% of Bond
Portfolio
3%
96%
1%
100%
US Fixed Income
Change
In Value
(14,186.46)
23,081.05
$8,894.59
Current
Allocation
3%
97%
100%
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 100%
Page 4 of 21
EFTA01573571
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Note:
1
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
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.
**
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
1.00
31,927.37
31,927.37
31,927.37
3.19
0.32
US Fixed Income
FORD MOTOR CREDIT CO
NOTES 7% OCT 1 2013
DTD 9/23/2003
345397-TZ-6 BB+ /BA1
LENNAR CORPORATION
5.6% MAY 31 2015
DTD 4/28/2005
526057-AS-3 B+ /B2
COMMUNITY HEALTH SYSTEMS
8 7/8% JUL 15 2015
DTD 07/25/2007
12543D-AF-7 B /B3
D R HORTON INC
6 1/2% APR 15 2016
DTD 04/17/2006
23331A-AZ-2 BB- /BA2
Page 5 of 21
109.00
10,000.00
10,900.00
10,495.00
405.00
650.00
28.88
4.02%
103.25
4,000.00
EFTA01573572
4,130.00
4,357.89
(227.89)
355.00
104.52
7.70%
104.25
10,000.00
10,425.00
9,905.00
520.00
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
106.99
10,000.00
10,699.40
10,775.00
(75.60)
700.00
58.33
560.00
233.33
1.97%
4.12%
EFTA01573573
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
HEALTH MANAGEMENT ASSOCIATION
6 1/8% APR 15 2016
DTD 04/21/2006
421933-AH-5 BB- /NA
STEEL DYNAMICS INC
7.75% APR 15 2016
DTD 04/03/2008
858119-AN-0 BB+ /BA2
SUPERVALU INC
8% MAY 01 2016
DTD 05/07/2009
868536-AT-0 B /B2
CRICKET COMMUNICATIONS INC
7 3/4% MAY 15 2016
DTD 11/15/2009
226566-AK-3 B+ /BA2
HOST HOTELS & RESORTS LP
6 3/4% JUN 01 2016
DTD 04/04/2006
44108E-BA-5 BB+ /BA1
BANK OF AMERICA CORP
3 3/4% JUL 12 2016
DTD 07/12/2011
06051G-EK-1 A- /BAA
SEAGATE TECHNOLOGY HDD H
SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006
81180R-AE-2 BB+ /BA1
111.00
10,000.00
11,100.00
10,600.00
500.00
680.00
56.66
4.06%
99.57
5,000.00
4,978.50
4,581.50
397.00
187.50
56.77
3.86%
102.75
10,000.00
10,275.00
EFTA01573574
10,375.00
(100.00)
675.00
281.25
5.98%
105.25
15,000.00
15,787.50
16,050.00
(262.50)
1,162.50
536.04
6.26%
104.00
15,000.00
15,600.00
15,862.50
(262.50)
1,162.50
51.66
105.00
10,000.00
10,500.00
10,375.00
125.00
800.00
400.00
6.58%
105.00
10,000.00
10,500.00
10,400.00
100.00
612.50
27.22
4.72%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
6.56%
Page 6 of 21
EFTA01573575
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
SPRINT NEXTEL CORP
6% DEC 1 2016
DTD 11/20/2006
852061-AD-2 B+ /B3
HANESBRANDS INC
8% DEC 15 2016
DTD 12/10/2009
410345-AF-9 BB- /B1
RITE AID CORP
7 1/2% MAR 01 2017
DTD 02/21/2007
767754-BL-7 B- /CAA
JARDEN CORP
SR SUB NOTES 7 1/2% MAY 1 2017
DTD 2/13/2007
471109-AB-4 B /B2
CONSTELLATION BRANDS INC
7 1/4% MAY 15 2017
DTD 11/15/2007
21036P-AF-5 BB+ /BA1
INGLES MARKETS INC
8 7/8% MAY 15 2017
DTD 05/12/2009
457030-AG-9 BB- /B1
RRI ENERGY INC
7 7/8% JUN 15 2017
DTD 06/13/2007
74971X-AC-1 B /B3
91.00
25,000.00
22,750.00
25,187.50
(2,437.50)
1,968.75
743.75
10.17%
113.00
15,000.00
16,950.00
16,500.00
450.00
1,087.50
501.45
108.25
10,000.00
10,825.00
10,775.00
EFTA01573576
50.00
887.50
409.23
4.35%
111.25
10,000.00
11,125.00
10,487.50
637.50
750.00
375.00
4.93%
102.25
20,000.00
20,450.00
20,150.00
300.00
1,500.00
250.00
6.94%
110.13
10,000.00
11,012.50
10,825.00
187.50
800.00
302.22
5.49%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
90.75
20,000.00
18,150.00
17,385.00
765.00
1,200.00
500.00
8.48%
6.91%
Page 7 of 21
EFTA01573577
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
SERVICE CORP INTL
7% JUN 15 2017
DTD 06/15/2006
MULTI CPN
817565-BF-0 BB- /BA3
SMITHFIELD FOODS INC
SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007
832248-AQ-1 BB /B2
PINNACLE ENTERTAINMENT
8 5/8% AUG 01 2017
DTD 02/01/2010
723456-AK-5 BB- /B1
CHESAPEAKE ENERGY CORP
6 1/2% AUG 15 2017
DTD 8/16/2005
165167-BS-5 BB /BA3
CCO HLDGS LLC CAP CORP
7 1/4% OCT 30 2017
DTD 09/27/2010
1248EP-AQ-6 BB- /B1
WINDSTREAM CORP
7 7/8% NOV 01 2017
DTD 10/08/2009
97381W-AJ-3 B+ /BA3
CASCADES INC
7 3/4% DEC 15 2017
DTD 12/03/2009
146900-AG-0 B+ /BA3
99.00
5,000.00
4,950.00
5,237.50
(287.50)
387.50
146.38
7.97%
110.50
20,000.00
22,100.00
21,450.00
650.00
1,575.00
787.50
5.63%
108.75
9,000.00
EFTA01573578
9,787.50
9,495.00
292.50
652.50
1.80
5.39%
99.75
15,000.00
14,962.50
15,975.00
(1,012.50)
975.00
205.83
6.55%
109.50
10,000.00
10,950.00
10,850.00
100.00
862.50
215.62
6.46%
112.25
10,000.00
11,225.00
10,475.00
750.00
775.00
258.33
5.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
111.50
20,000.00
22,300.00
21,700.00
600.00
1,400.00
528.88
4.46%
Page 8 of 21
EFTA01573579
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
CLEAR CHANNEL WORLDWIDE
9 1/4% DEC 15 2017
DTD 06/15/2010
18451Q-AD-0 B /B1
EQUINIX INC
SR NOTES 8 1/8% MAR 01 2018
DTD 03/03/2010
29444U-AJ-5 BB- /BA2
AVIS BUDGET CAR RENTAL
9 5/8% MAR 15 2018
DTD 03/10/2010
053773-AL-1 B /B2
CIT GROUP INC
5 1/4% MAR 15 2018
DTD 03/15/2012
125581-GL-6 BB- /B1
CABLEVISION SYSTEMS CORP
SR NOTES 7 3/4% APR 15 2018
DTD 04/15/2010
12686C-AZ-2 B+ /B1
MERRILL LYNCH & CO
MEDIUM TERM NOTES 6 7/8% APR 25 2018
DTD 04/25/2008
59018Y-N6-4 A- /BAA
ALLBRITTON COMMUNICATION
8% MAY 15 2018
DTD 04/30/2010
016745-AL-5 B /B2
106.50
10,000.00
10,650.00
10,300.00
350.00
800.00
368.88
6.67%
111.43
10,000.00
11,143.40
11,080.41
62.99
687.50
11.45
4.66%
106.25
10,000.00
10,625.00
EFTA01573580
10,775.00
(150.00)
775.00
34.44
6.47%
103.00
20,000.00
20,600.00
20,140.00
460.00
1,050.00
134.16
4.66%
109.00
5,000.00
5,450.00
5,470.00
(20.00)
481.25
61.49
7.69%
110.50
10,000.00
11,050.00
10,772.50
277.50
812.50
135.41
5.96%
109.63
10,000.00
10,962.50
11,000.00
(37.50)
925.00
349.44
7.14%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 9 of 21
EFTA01573581
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
CKE RESTAURANTS INC
11 3/8% JUL 15 2018
DTD 07/12/2010
12561E-AK-1 B- /B2
METROPCS WIRELESS INC
SR NOTES 7 7/8% SEP 01 2018
DTD 09/21/2010
591709-AK-6 B /B2
FRONTIER COMMUNICATIONS
SR NOTES 8 1/8% OCT 01 2018
DTD 10/01/2009
35906A-AB-4 BB /BA2
NIELSEN FINANCE LLC/CO
7 3/4% OCT 15 2018
DTD 04/15/2011
65409Q-AY-8 BB- /B2
DAVITA INC
6 3/8% NOV 01 2018
DTD 10/20/2010
23918K-AL-2 B /B2
CSC HOLDINGS LLC
8 5/8% FEB 15 2019
DTD 02/12/2009
126307-AC-1 BB /BA3
HCA INC
8 1/2% APR 15 2019
DTD 04/15/2010
404119-BF-5 BB /BA3
112.19
20,000.00
22,437.60
22,250.00
187.60
1,700.00
75.54
6.31%
113.50
10,000.00
11,350.00
11,425.00
(75.00)
862.50
182.08
6.16%
105.00
10,000.00
10,500.00
EFTA01573582
10,200.00
300.00
637.50
318.75
5.45%
110.50
10,000.00
11,050.00
11,040.00
10.00
775.00
34.44
5.78%
105.00
20,000.00
21,000.00
21,950.00
(950.00)
1,625.00
135.40
7.14%
102.50
15,000.00
15,375.00
16,012.50
(637.50)
1,181.25
196.87
7.37%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
115.25
9,000.00
10,372.50
9,945.00
427.50
1,023.75
301.43
8.19%
Page 10 of 21
EFTA01573583
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
FOREST OIL CORPORATION
7 1/4% JUN 15 2019
DTD 12/15/2007
346091-AZ-4 B /B1
LIMITED BRANDS INC
8 1/2% JUN 15 2019
DTD 12/15/2009
532716-AR-8 BB+ /BA1
DISH DBS CORP
7 7/8% SEP 01 2019
DTD 08/17/2009
25470X-AB-1 BB- /BA2
WEYERHAEUSER CO
7 3/8% OCT 01 2019
DTD 10/01/2009
962166-BV-5 BBB /BA1
UNITED RENTALS NORTH AM
9 1/4% DEC 15 2019
DTD 11/17/2009
911365-AU-8 B /B3
PIONEER NATURAL RESOURCE
7 1/2% JAN 15 2020
DTD 11/30/2009
723787-AJ-6 BBB /BA1
NEWFIELD EXPLORATION CO
6 7/8% FEB 01 2020
DTD 01/25/2010
651290-AN-8 BB+ /BA2
106.25
20,000.00
21,250.00
21,450.00
(200.00)
1,375.00
343.74
5.86%
123.25
20,000.00
24,650.20
22,800.00
1,850.20
1,500.00
441.66
3.97%
111.50
15,000.00
16,725.00
EFTA01573584
16,687.50
37.50
1,387.50
524.16
7.26%
117.84
10,000.00
11,783.90
11,509.70
274.20
737.50
61.45
4.52%
118.38
20,000.00
23,675.00
23,000.00
675.00
1,700.00
642.22
115.75
15,000.00
17,362.50
16,462.50
900.00
1,181.25
196.87
5.36%
98.75
20,000.00
19,750.00
20,400.00
(650.00)
1,450.00
547.76
7.48%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
5.26%
Page 11 of 21
EFTA01573585
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
LEAR CORP
8 1/8% MAR 15 2020
DTD 03/26/2010
521865-AS-4 BB /BA2
MGM RESORTS INTERNATIONAL
9% MAR 15 2020
DTD 03/15/2011
55303Q-AD-2 B+ /BA2
BOISE PAPER HDG CO ISSR
8% APR 01 2020
DTD 03/19/2010
09747G-AB-9 BB /BA3
CONSOL ENERGY INC
8 1/4% APR 01 2020
DTD 10/01/2010
20854P-AF-6 BB /B1
US STEEL CORP
SR NOTES 7 3/8% APR 01 2020
DTD 03/19/2010
912909-AF-5 BB /B1
CF INDUSTRIES INC
7 1/8% MAY 01 2020
DTD 04/23/2010
12527G-AB-9 BB+ /BA1
OMNICARE INC
7 3/4% JUN 01 2020
DTD 05/18/2010
681904-AM-0 BB /BA3
119.50
10,000.00
11,950.00
11,675.00
275.00
712.50
356.25
110.00
15,000.00
16,500.00
16,320.00
180.00
1,162.50
484.36
4.23%
102.25
10,000.00
10,225.00
10,437.50
EFTA01573586
(212.50)
737.50
61.45
7.00%
105.00
15,000.00
15,750.00
16,556.25
(806.25)
1,237.50
103.12
7.40%
110.25
10,000.00
11,025.00
10,862.50
162.50
800.00
66.66
6.33%
111.50
15,000.00
16,725.00
16,612.50
112.50
1,350.00
172.50
7.07%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
111.50
10,000.00
11,150.00
10,945.00
205.00
812.50
103.81
6.25%
6.16%
Page 12 of 21
EFTA01573587
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
WYNN LAS VEGAS LLC CORP
7 3/4% AUG 15 2020
DTD 08/04/2010
983130-AR-6 BBB /BA2
NRG ENERGY INC
8 1/4% SEP 01 2020
DTD 03/01/2011
629377-BJ-0 BB- /B1
BALL CORP
SR NOTES 6 3/4% SEP 15 2020
DTD 03/22/2010
058498-AP-1 BB+ /BA1
ARCH COAL INC
7 1/4% OCT 01 2020
DTD 08/09/2010
039380-AC-4 B+ /B1
BE AEROSPACE INC
SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010
055381-AR-8 BB /BA2
ENERGY TRANSFER EQUITY
7 1/2% OCT 15 2020
DTD 09/20/2010
29273V-AC-4 BB /BA2
INTL LEASE FINANCE CORP
8 1/4% DEC 15 2020
DTD 12/07/2010
459745-GF-6 BBB /B1
112.00
15,000.00
16,800.00
16,540.00
260.00
1,237.50
467.49
6.41%
110.75
20,000.00
22,150.00
21,450.00
700.00
1,500.00
66.66
5.87%
110.75
15,000.00
16,612.50
EFTA01573588
16,012.50
600.00
1,031.25
85.93
5.28%
89.50
15,000.00
13,425.00
15,450.00
(2,025.00)
110.50
15,000.00
16,575.00
16,050.00
525.00
1,012.50
129.37
1,087.50
90.61
5.19%
110.50
10,000.00
11,050.00
10,950.00
100.00
775.00
163.61
100.25
15,000.00
15,037.50
15,637.50
(600.00)
1,237.50
206.25
6.11%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
8.20%
9.06%
Page 13 of 21
EFTA01573589
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
CROWN AMER/CAP CORP III
6 1/4% FEB 01 2021
DTD 08/01/2011
22818V-AB-3 BB /BA3
KEY ENERGY SERVICES INC
6 3/4% MAR 01 2021
DTD 03/04/2011
492914-AS-5 BB- /B1
AMERIGAS PART FIN CORP
SR NOTES 6 1/2% MAY 20 2021
DTD 01/20/2011
030981-AF-1 NA /BA3
IRON MOUNTAIN INC
8 3/8% AUG 15 2021
DTD 08/10/2009
46284P-AM-6 B+ /B1
NAVISTAR INTL CORP
SR NOTES 8 1/4% NOV 01 2021
DTD 10/28/2009
63934E-AM-0 BB- /B1
CCO HLDGS LLC/CAP CORP
6 5/8% JAN 26 2012
DTD 01/31/2022
1248EP-AX-1 BB- /B1
QEP RESOURCES INC
5 3/8% OCT 01 2022
DTD 03/01/2012
74733V-AB-6 BB+ /BA1
100.00
20,000.00
20,000.00
19,861.25
138.75
1,075.00
179.16
5.37%
104.63
6,000.00
6,277.50
5,970.00
307.50
397.50
105.99
5.99%
108.00
10,000.00
10,800.00
EFTA01573590
10,987.50
(187.50)
825.00
412.50
7.08%
109.00
15,000.00
16,350.00
15,900.00
450.00
1,256.25
265.20
7.04%
101.50
7,000.00
7,105.00
N/A **
N/A
455.00
203.48
6.28%
103.00
4,000.00
4,120.00
4,090.00
30.00
270.00
45.00
6.30%
108.75
7,000.00
7,612.50
7,527.50
85.00
437.50
109.37
5.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 14 of 21
EFTA01573591
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Price
US Fixed Income
FORD MOTOR COMPANY
GLOBAL LANDMARK SECURITIES NOTES
7.45% JUL 16 2031
DTD 7/16/99
345370-CA-6 BB+ /BA2
GMAC
8% NOV 01 2031
DTD 12/31/2008
36186C-BY-8 B+ /B1
CAPITAL ONE CAPITAL IV
6.745% FEB 17 2037
DTD 02/05/2007
140422-AA-4 BB+ /BAA
AMERICAN INTL GROUP
8.175% MAY 15 2058
DTD 05/15/2009
026874-BS-5 BBB /BAA
Total US Fixed Income
$995,473.00
$980,970.75
$7,397.25
100.00
20,000.00
20,000.00
20,275.00
(275.00)
1,349.00
277.28
106.88
15,000.00
16,031.25
16,428.75
(397.50)
1,226.25
565.42
$69,736.50
$18,005.69
6.74%
114.50
20,000.00
22,900.00
21,912.50
987.50
1,600.00
800.00
6.66%
Quantity
EFTA01573592
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
127.38
15,000.00
19,106.25
17,580.00
1,526.25
1,117.50
325.93
5.18%
7.63%
6.14%
Page 15 of 21
EFTA01573593
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
Total Inflows
OUTFLOWS **
Total Outflows
Fees & Commissions
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
1,015.99
(19,710.00)
($18,694.01)
$31,927.37
* 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
85,777.22
(85,794.16)
($16.94)
-Current
Period
Value
46,113.83
8,397.11
$8,397.11
(3,889.56)
($3,889.56)
Year-To-Date
Value*
-22,231.46
$22,231.46
(11,838.14)
($11,838.14)
Page
16 of 21
EFTA01573594
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
4/2
4/2
4/2
4/2
4/2
4/2
4/2
4/2
4/2
4/2
4/10
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Foreign Interest
Corporate Interest
Corporate Interest
Interest Income
Accrued Int Paid
Description
ARCH COAL INC 7 1/4% OCT 01 2020 DTD 08/09/2010
(ID: 039380-AC-4)
BE AEROSPACE INC SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010 (ID: 055381-AR-8)
BOISE PAPER HDG CO ISSR 8% APR 01 2020 DTD
03/19/2010 (ID: 09747G-AB-9)
CONSOL ENERGY INC 8 1/4% APR 01 2020 DTD
10/01/2010 (ID: 20854P-AF-6)
FORD MOTOR CREDIT CO NOTES 7% OCT 1 2013 DTD
9/23/2003 (ID: 345397-TZ-6)
FRONTIER COMMUNICATIONS SR NOTES 8 1/8% OCT 01
2018 DTD 10/01/2009 (ID: 35906A-AB-4)
SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1
2016 DTD 9/20/2006 (ID: 81180R-AE-2)
US STEEL CORP SR NOTES 7 3/8% APR 01 2020 DTD
03/19/2010 (ID: 912909-AF-5)
WEYERHAEUSER CO 7 3/8% OCT 01 2019 DTD
10/01/2009 (ID: 962166-BV-5)
DEPOSIT SWEEP INTEREST FOR MAR. @ .01% RATE ON
NET AVG COLLECTED BALANCE OF $53,546.30 AS OF
04/01/12
EFTA01573595
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.375 BARCLAYS CAPITAL INC FIXED
INCOME TRADE DATE 04/04/12 (ID: 74733V-AB-6)
Page 17 of 21
2,000.000
0.00
0.006
(11.65)
Quantity
Cost
15,000.000
15,000.000
10,000.000
15,000.000
10,000.000
20,000.000
10,000.000
10,000.000
10,000.000
Per Unit
Amount
0.036
0.034
0.04
0.041
0.035
0.041
0.034
0.037
0.037
Amount
543.75
515.63
400.00
618.75
350.00
812.50
340.00
368.75
368.75
0.45
EFTA01573596
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Type
Settle Date Selection Method
Income
4/10
4/11
Accrued Int Paid
Accrued Int Paid
Description
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 @ 107.50 MLPFS INC/FIXED INCOME
TRADE DATE 04/04/12 (ID: 22818V-AB-3)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 122.25
CANTOR FITZGERALD / MORTGAGE BACKE TRADE DATE
04/05/12 (ID: 345370-CA-6)
4/11
Accrued Int Paid
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 122.00
GOLDMAN SACHS & CO. TRADE DATE 04/05/12
(ID: 345370-CA-6)
4/11
Accrued Int Paid
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 @ 107.625 MORGAN STANLEY & CO.
INCORPORATED TRADE DATE 04/05/12
(ID: 22818V-AB-3)
4/13
4/13
4/16
4/16
4/16
4/16
Cash Receipt
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 CASH IN LIEU OF FRACTIONAL
SHARES (ID: 030981-AF-1)
AMERIGAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 CASH IN LIEU OF FRACTIONAL
SHARES (ID: 030981-AF-1)
CABLEVISION SYSTEMS CORP SR NOTES 7 3/4% APR 15
2018 DTD 04/15/2010 (ID: 12686C-AZ-2)
D R HORTON INC 6 1/2% APR 15 2016 DTD
04/17/2006 (ID: 23331A-AZ-2)
EFTA01573597
ENERGY TRANSFER EQUITY 7 1/2% OCT 15 2020 DTD
09/20/2010 (ID: 29273V-AC-4)
HCA INC 8 1/2% APR 15 2019 DTD 04/15/2010
(ID: 404119-BF-5)
10,000.000
10,000.000
20,000.000
20,000.000
0.039
0.033
0.038
0.043
387.50
325.00
750.00
850.00
Page 18 of 21
1,000.000
0.024
24.29
1,000.000
0.017
16.93
2,000.000
0.00
0.012
(24.31)
3,000.000
0.00
0.018
(52.77)
2,000.000
0.00
0.018
(35.18)
Quantity
Cost
5,000.000
0.00
Per Unit
Amount
0.012
Amount
(59.90)
EFTA01573598
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Type
Settle Date Selection Method
Income
4/16
4/16
4/16
4/19
4/20
4/25
4/30
Corporate Interest
Corporate Interest
Corporate Interest
Accrued Int Paid
Accrued Int Paid
Corporate Interest
Corporate Interest
Total Income
Type
Settle Date Selection Method
Miscellaneous Credits
4/6
Name Change
Description
AMERIGAS PART FIN CORP 6 1/2% MAY 20 2021 DTD
01/20/2011 TENDERED SHARES - EXPIRATION
4/10/2012 UNACCEPTED PORTION OF CONSENT OFFER
RETURNED TO ORIGINAL CUSIP: 030981AF1.
(ID: 03099A-HH-9)
Page 19 of 21
Quantity
Cost
(8,000.000)
0.00
Description
HEALTH MANAGEMENT ASSOCIATION 6 1/8% APR 15
2016 DTD 04/21/2006 (ID: 421933-AH-5)
NIELSEN FINANCE LLC/CO 7 3/4% OCT 15 2018 DTD
04/15/2011 (ID: 65409Q-AY-8)
STEEL DYNAMICS INC 7.75% APR 15 2016 DTD
04/03/2008 (ID: 858119-AN-0)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 @ 102.00 MLPFS INC/FIXED INCOME
TRADE DATE 04/16/12 (ID: 492914-AS-5)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 @ 102.50 FIRST UNION CAPITAL MARKETS
TRADE DATE 04/17/12 (ID: 492914-AS-5)
MERRILL LYNCH & CO MEDIUM TERM NOTES 6 7/8% APR
25 2018 DTD 04/25/2008 (ID: 59018Y-N6-4)
EFTA01573599
CCO HLDGS LLC CAP CORP 7 1/4% OCT 30 2017 DTD
09/27/2010 (ID: 1248EP-AQ-6)
10,000.000
9,000.000
0.034
0.036
343.75
326.25
$8,397.11
2,000.000
0.00
0.009
(18.38)
Quantity
Cost
10,000.000
10,000.000
15,000.000
2,000.000
0.00
Per Unit
Amount
0.031
0.039
0.039
0.009
Amount
306.25
387.50
581.25
(18.00)
Amount
EFTA01573600
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Type
Settle Date Selection Method
Miscellaneous Credits
4/6
Name Change
Description
AMERICAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 UNACCEPTED PORTION OF
CONSENT OFFER RETURNED FROM CONTRA CUSIP:
03099AHH9. (ID: 030981-AF-1)
Total Miscellaneous Credits
Type
Settle Date Selection Method
Fees & Commissions
4/19
Description
Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR
THE PERIOD 01-01-2012 TO 03-31-2012
Quantity
Cost
$0.00
Quantity
Cost
8,000.000
0.00
Amount
Amount
(3,889.56)
TRADE ACTIVITY
Note:
Trade Date
Settle Date
4/13
4/13
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
Pro Rata
AMERICAS PART FIN CORP SR NOTES 6 1/2% MAY 20
2021 DTD 01/20/2011 CASH IN LIEU OF FRACTIONAL
SHARES (ID: 030981-AF-1)
Quantity
(1,000.000)
** Realized Gain/Loss and tax cost are shown as "N/A" in cases where we do
not have appropriate cost information for all tax lots comprising the sale.
Please contact your J.P. Morgan team for
additional information.
Per Unit
EFTA01573601
Amount
101.60
Proceeds
1,015.99
Tax Cost
N/A **
Realized
Gain/Loss
N/A
Page 20 of 21
EFTA01573602
GHISLAINE MAXWELL-HY ACCT.
For the Period 4/1/12 to 4/30/12
Trade Date
Settle Date
Type
Settled Securities Purchased
4/4
Purchase
4/10
4/4
4/10
4/5
4/11
4/5
4/11
4/5
4/11
4/16
4/19
4/17
4/20
Purchase
Purchase
Total Settled Securities Purchased
Purchase
Purchase
Purchase
Purchase
Description
QEP RESOURCES INC 5 3/8% OCT 01 2022 DTD
03/01/2012 @ 99.375 BARCLAYS CAPITAL INC FIXED
INCOME (ID: 74733V-AB-6)
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 @ 107.50 MLPFS INC/FIXED INCOME
(ID: 22818V-AB-3)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 122.25
CANTOR FITZGERALD / MORTGAGE BACKE
(ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 122.00
GOLDMAN SACHS & CO. (ID: 345370-CA-6)
CROWN AMER/CAP CORP III 6 1/4% FEB 01 2021 DTD
08/01/2011 @ 107.625 MORGAN STANLEY & CO.
INCORPORATED (ID: 22818V-AB-3)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 @ 102.00 MLPFS INC/FIXED INCOME
(ID: 492914-AS-5)
KEY ENERGY SERVICES INC 6 3/4% MAR 01 2021 DTD
03/04/2011 @ 102.50 FIRST UNION CAPITAL MARKETS
(ID: 492914-AS-5)
EFTA01573603
($19,710.00)
2,000.000
102.50
(2,050.00)
2,000.000
102.00
(2,040.00)
2,000.000
107.60
(2,152.50)
3,000.000
122.00
(3,660.00)
2,000.000
122.30
(2,445.00)
5,000.000
107.50
(5,375.00)
Quantity
2,000.000
Per Unit
Amount
99.40
Market Cost
(1,987.50)
Page 21 of 21
EFTA01573604
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01573605
For the Period 4/1/12 to 4/30/12
For your convenience we have combined statement(s) for activity you conduct
through J.P. Morgan in one package. Below are important disclosures relating
to these different accounts.
These statements may relate to various account types. Some of the
disclosures are applicable to all of your accounts. For ease of reference
the disclosures applicable to a particular type
of account have been grouped together by descriptive headers.
IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S)
Important Information about Pricing ,Valuations, Estimated Annual Income,
and Estimated Yield
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein, some of which has
been provided by pricing sources that J.P. Morgan
believes to be reliable, is not guaranteed for accuracy but provided for
informational purposes and is furnished for the exclusive use of the client.
The current price is the value of the financial asset share, unit or
contract as priced at the close of the market on the last day of the
statement period or the last available price. All values provided for
structured yield deposits (for example, JPMorgan London Time Deposits)
reflect the original deposit amount only. The value for Real Estate, Mineral
Interests and Miscellaneous Assets may not reflect
the most current value of the asset.
Important information regarding Auction Rate Securities (ARS). ARS are debt
or preferred securities with an interest or dividend rate reset periodically
in an auction. Although there may be daily, weekly
and monthly resets, there is no guarantee that there will be liquidity. If
there are not enough bids at an auction to redeem the securities available
for sale, the result may be a failed auction. In the event
of a failed auction, there is no assurance that a secondary market will
develop or that the security will trade at par or any other price reflected
on statements and online. Accordingly, investors should not
rely on pricing information appearing in their statements or online with
respect to ARS. When J.P. Morgan is unable to obtain a price from an
internal or outside source for a particular ARS, the price
column on your statement will indicate "unpriced".
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are sourced from the various
issuers of the securities or they are sourced from a third party valuation
provider. J.P. Morgan expressly disclaims any responsibility for (1) the
accuracy of the models or estimates used in deriving the
valuations, (2) any errors or omissions in computing or disseminating the
valuations, and (3) any uses to which the valuations are put. Valuations are
provided for information purposes only and are
intended solely for your own use. Please refer to the trade confirmation for
details of each transaction.
Certain assets, including but not limited to, pooled and private
investments, non-publicly traded and infrequently traded securities,
derivatives, partnership interests and tangible assets are generally
illiquid, the value of such asset may have been provided to us by third
EFTA01573606
parties who may or may not be independent of the issuer or manager. Such
information is reflected as of the last date provided to
us, and is not independently verified.
In cases where we are unable to obtain a current market value from an
internal or outside source for a particular security, the price column on
your statement will indicate "unpriced". Although such
securities may have value, please note that the value of a security
indicated as "unpriced" will not be included in your overall current market
value as reflected on the statement.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
securities could be bought or sold or new transactions could
be entered into, or the actual terms on which existing transactions or
securities could be liquidated. Such values may only be indicative.
When we are unable to obtain a current value from an internal or outside
source for a particular security, the price column on your statement will
indicate "unpriced".
If a partial call is made with respect to an issue of securities included in
your Accounts we will allocate the call by a method we deem fair and
equitable.
To the extent applicable, please note the following regarding estimated
annual income (EAI) and estimated yield (EY): EAI and EY for certain types
of securities could include a return of principal or
capital gains in which case the EAI and EY would be overstated. EAI and EY
are estimates and the actual income and yield might be lower or higher than
the estimated amounts. EY reflects only the
income generated by an investment. It does not reflect changes in its price,
which may fluctuate.
Offshore Deposits - London and Nassau
Disclosures Page 1 of 2
EFTA01573607
For the Period 4/1/12 to 4/30/12
Deposits in Foreign Branches are not insured by the FDIC or any other Agency
of the Federal Government; amounts in such foreign accounts do not have the
benefit of any domestic
preference applicable to U.S Banks; certain Foreign accounts are considered
reportable to the Internal Revenue Service on a Report of Foreign Bank and
Financial Accounts (TD F
90-22.1).
Bank products and services are offered through JPMorgan Chase Bank, N.A.
("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan
Securities LLC ("JPMS") and, to the extent
noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC").
Neither JPMS, nor JPMCC is a bank and are each separate legal entities from
its bank or thrift affiliates.
Investment Products: Not FDIC Insured
-No Bank Guarantee -May Lose Value
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form
ADV II or brochure upon written request.
These statements are not official documents for income tax reporting
purposes and should not be relied upon for such purposes, including
determination of income, cost basis, amortization or accretion,
or gain/loss. Such information, which may be inaccurate, incomplete or
subject to updating, should be confirmed with your records and your tax
advisor.
Please take the steps indicated below if you think statement(s) are
incorrect or contact your J.P.Morgan team if you require additional
information about a transaction on your
statement(s).
IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT
MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A.
In case of other errors or questions about other account statement(s)
Please review your account statement(s) and promptly report any inaccuracy
or discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
improper payments or transfers in writing to JPMCB at the addresses shown on
your statement(s). Any oral communication should be re-confirmed in writing
to further protect your rights. If you have
any questions please contact your J.P. Morgan team.
In your written communication, please provide the following information: (1)
your name and account number; (2) the dollar amount of the suspected error;
and (3) a description of the error and
explanation, if you can, why you believe there is an error. If you need more
information, you must describe the item you are unsure about. We must
receive your written communication no later than 30
days after the statement on which the error or problem appeared is sent or
made available. If you do not so notify us, you agree that the statement
activity and account balance(s) are correct.
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
EFTA01573608
modify the management of your account. Unless you
inform otherwise, your J.P.Morgan representative will consider the
information currently in its files to be complete and accurate.
Disclosures Page 2 of 2
EFTA01573609
ℹ️ Document Details
SHA-256
9718d333b70da43f066fc42c58fe251c732b998d8b100ec91339756dd79a7e47
Bates Number
EFTA01573564
Dataset
DataSet-10
Document Type
document
Pages
46
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