EFTA01572904.pdf

GHISLAINE MAXWELL EFTA01572904 EFTA01572905 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL- OAP FDG 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 7/1/13 to 7/31/13 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 2 Holdings Equity Cash & Fixed Income Portfolio Activity 4 7 9 0000002324.00.0.9E.00001.MAXWE04.20130802 Page 1 of 12 EFTA01572906 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 1,780,407.88 55,626.97 $1,836,034.85 2,357.73 $1,838,392.58 Ending Market Value 1,891,270.70 54,898.87 $1,946,169.57 3,597.71 $1,949,767.28 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 (3,333.39) ($3,333.39) 2,357.73 111,110.38 $1,946,169.57 3,597.71 $1,949,767.28 Period Value 1,836,034.85 Change In Value 110,862.82 (728.10) $110,134.72 1,239.98 $111,374.70 Year-to-Date EFTA01572907 Value 182,219.12 1,500,000.00 (6,090.32) $1,493,909.68 20,835.91 249,204.86 $1,946,169.57 3,597.71 $1,949,767.28 Estimated 51,559.58 5.48 Current Annual Income Allocation 97% 3% $51,565.06 100% Cash & Fixed Income Asset Allocation Equity Page 2 of 12 EFTA01572908 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 2,357.42 0.31 $2,357.73 Year-to-Date Value 20,831.96 3.95 $20,835.91 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value 1,893.63 $1,893.63 Year-to-Date Value 11,327.02 3,706.08 $15,033.10 Unrealized Gain/Loss To-Date Value $257,587.02 Cost Summary Equity Cash & Fixed Income Total 54,898.87 Cost 1,633,683.68 $1,688,582.55 Page 3 of 12 EFTA01572909 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Equity Summary Asset Categories US Large Cap Equity Beginning Market Value 1,780,407.88 Ending Market Value 1,891,270.70 Change In Value 110,862.82 Current Allocation 97% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Equity Detail Price US Large Cap Equity ANALOG DEVICES INC 032654-10-5 ADI AUTOMATIC DATA PROCESSING INC BAXTER INTERNATIONAL INC 053015-10-3 ADP 73.04 071813-10-9 BAX 1,272.000 92,906.88 83,522.65 9,384.23 2,493.12 2.68% 72.09 1,272.000 91,701.02 76,310.18 15,390.84 2,213.28 2.41% Quantity Value Adjusted Tax Cost EFTA01572910 Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value 1,891,270.70 1,633,683.68 257,587.02 51,559.58 3,597.18 2.72% 49.38 1,751.000 86,464.38 73,523.89 12,940.49 2,381.36 2.75% Page 4 of 12 EFTA01572911 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Price US Large Cap Equity BLACKROCK INC CATERPILLAR INC CHEVRON CORP 09247X-10-1 BLK 82.91 149123-10-1 CAT 125.89 166764-10-0 CVX COLGATE PALMOLIVE CO CONOCOPHILLIPS GENERAL MILLS INC 194162-10-3 CL 64.86 20825C-10-4 COP 52.00 370334-10-4 GIS HONEYWELL INTERNATIONAL INC ILLINOIS TOOL WORKS INC JOHNSON & JOHNSON MC DONALDS CORP NEXTERA ENERGY INC PEPSICO INC 438516-10-6 HON 72.04 452308-10-9 ITW 93.50 478160-10-4 JNJ 98.08 580135-10-1 MCD 86.61 65339F-10-1 NEE 83.54 713448-10-8 PEP PROCTER & GAMBLE CO 742718-10-9 PG 80.30 1,134.000 91,060.20 82,228.14 8,832.06 2,728.40 682.10 3.00% 1,154.000 96,405.16 85,508.36 10,896.80 EFTA01572912 2,619.58 2.72% 1,162.000 100,640.82 83,302.61 17,338.21 3,067.68 3.05% 916.000 89,841.28 85,992.51 3,848.77 2,821.28 3.14% 1,066.000 99,671.00 79,807.38 19,863.62 2,814.24 2.82% 1,171.000 84,358.84 71,317.60 13,041.24 1,779.92 2.11% 82.98 1,231.000 102,148.38 83,422.86 18,725.52 1,882.000 97,864.00 82,867.16 14,996.84 1,480.000 95,992.80 86,510.58 9,482.22 59.87 1,508.000 90,283.96 81,883.80 8,400.16 2,050.88 512.72 4,084.80 1,021.20 2,860.64 715.16 2,018.84 EFTA01572913 2.27% 4.26% 2.92% 1.98% 760.000 95,676.40 86,496.09 9,180.31 1,110.000 92,030.10 91,931.25 98.85 2,664.00 666.00 3,040.00 2.89% 3.18% 281.96 372.000 104,889.12 87,501.00 17,388.12 2,499.84 2.38% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 5 of 12 EFTA01572914 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Price US Large Cap Equity STAPLES INC 855030-10-2 SPLS THE TRAVELERS COMPANIES INC. WALGREEN CO XILINX CORP 89417E-10-9 TRV 50.25 931422-10-9 WAG 46.69 983919-10-1 XLNX Total US Large Cap Equity $1,891,270.70 $1,633,683.68 $257,587.02 $51,559.58 $3,597.18 2.73% 1,798.000 83,948.62 65,171.15 18,777.47 1,798.00 2.14% 1,886.000 94,771.50 76,780.50 17,991.00 2,376.36 2.51% 83.55 1,152.000 96,249.60 90,469.50 5,780.10 2,304.00 2.39% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 17.02 6,132.000 EFTA01572915 104,366.64 79,136.47 25,230.17 2,943.36 2.82% Page 6 of 12 EFTA01572916 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 55,626.97 Ending Market Value 54,898.87 Change In Value (728.10) Current Allocation 3% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 54,898.87 54,898.87 5.48 0.53 0.01% SUMMARY BY TYPE Market Value 54,898.87 % of Bond Portfolio 100% The years indicate the number of years until the bond is scheduled to mature based on the statement end date. Some bonds may be called, or paid in full, before their stated maturity. Cash & Fixed Income Cash Market Value 54,898.87 % of Bond EFTA01572917 Portfolio 100% Page 7 of 12 EFTA01572918 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Note: 1 This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 54,898.87 54,898.87 54,898.87 5.48 0.53 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 8 of 12 EFTA01572919 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 38,565.81 (37,322.20) $1,243.61 $54,898.87 * 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 120,894.42 (1,584,643.08) ($1,463,748.66) -Current Period Value 54,630.92 2,357.73 $2,357.73 (3,333.39) ($3,333.39) Year-To-Date Value* -20,835.91 1,500,000.00 $1,520,835.91 (6,090.32) ($6,090.32) Page 9 of 12 EFTA01572920 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 7/1 7/1 7/1 7/9 7/18 Div Domest Interest Income Div Domest Div Domest Div Domest Total Income Type Settle Date Selection Method Fees & Commissions 7/23 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 04-01-2013 TO 06-30-2013 Quantity Cost Description BAXTER INTERNATIONAL INC @ 0.49 PER SHARE (ID: 071813-10-9) DEPOSIT SWEEP INTEREST FOR 06/01/13 - 06/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $50,064.40 AS OF 07/01/13 AUTOMATIC DATA PROCESSING INC @ 0.435 PER SHARE (ID: 053015-10-3) ILLINOIS TOOL WORKS INC @ 0.38 PER SHARE (ID: 452308-10-9) STAPLES INC @ 0.12 PER SHARE (ID: 855030-10-2) 1,272.000 1,171.000 6,132.000 0.435 0.38 0.12 553.32 444.98 735.84 $2,357.73 Quantity Cost 1,272.000 EFTA01572921 Per Unit Amount 0.49 Amount 623.28 0.31 Amount (3,333.39) Page 10 of 12 EFTA01572922 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 TRADE ACTIVITY Note: Trade Date Settle Date 6/26 7/1 6/26 7/1 6/27 7/2 6/27 7/2 6/28 7/3 7/1 7/5 L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gain/Loss * Settled transaction was initiated in prior statement period and settled in current statement period Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost LOCKHEED MARTIN CORP @ 105.5117 5,486.61 BROKERAGE 1.04 TAX &/OR SEC .10 WEEDEN AND CO (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 105.345 316.04 BROKERAGE 0.06 TAX &/OR SEC .01 LIQUIDNET INC (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 107.1486 9,643.37 BROKERAGE 1.80 TAX &/OR SEC .17 MORGAN STANLEY & CO. LLC (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 106.9621 2,567.09 BROKERAGE 0.48 TAX &/OR SEC .04 LIQUIDNET INC (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 108.1962 14,931.08 BROKERAGE 2.76 TAX &/OR SEC .26 MERRILL LYNCH EFTA01572923 PIERCE FENNER & SMIT (ID: 539830-10-9) LOCKHEED MARTIN CORP @ 108.2592 5,629.48 BROKERAGE 1.04 TAX &/OR SEC .10 CREDIT SUISSE FIRST BOSTON LLC (ID: 539830-10-9) Total Settled Sales/Maturities/Redemptions $38,565.81 ($31,747.54) $3,706.08 L $3,112.19 S (138.000) (52.000) 108.174 108.237 14,928.06 5,628.34 (11,956.80) (3,734.71) 1,812.45 L * 1,158.81 S 1,893.63 L (24.000) 106.94 2,566.57 (2,280.15) 286.42 S* (90.000) 107.127 9,641.40 (8,550.54) 1,090.86 S* (3.000) 105.323 315.97 (285.02) 30.95 S* Quantity (52.000) Per Unit Amount 105.49 Proceeds 5,485.47 Tax Cost (4,940.32) Realized Gain/Loss 545.15 S* Page 11 of 12 EFTA01572924 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 7/1/13 to 7/31/13 Trade Date Settle Date Type Settled Securities Purchased 6/26 Purchase 7/1 6/27 7/2 6/27 7/2 6/28 7/3 7/1 7/5 Purchase Purchase Purchase Purchase Total Settled Securities Purchased Description CATERPILLAR INC @ 82.2394 5,674 52 BROKERAGE 1.38 CREDIT SUISSE FIRST BOSTON LLC (ID: 149123-10-1) CATERPILLAR INC @ 82.9312 11,693.30 BROKERAGE 2.82 MORGAN STANLEY & CO. LLC (ID: 149123-10-1) CATERPILLAR INC @ 82.905 580.34 BROKERAGE 0.14 LIQUIDNET INC (ID: 149123-10-1) CATERPILLAR INC @ 82.7547 13,985.54 BROKERAGE 3.38 CREDIT SUISSE FIRST BOSTON LLC (ID: 149123-10-1) CATERPILLAR INC @ 82.7612 5,379.48 BROKERAGE 1.30 GOLDMAN SACHS & CO. (ID: 149123-10-1) 65.000 82.781 (5,380.78) ($37,322.20) 141.000 7.000 169.000 82.951 82.926 82.775 (11,696.12) (580.48) (13,988.92) * * * EFTA01572925 Quantity 69.000 Per Unit Amount 82.259 Market Cost (5,675.90) * Page 12 of 12 EFTA01572926 For the Period 7/1/13 to 7/31/13 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 EFTA01572927 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 EFTA01572928 For the Period 7/1/13 to 7/31/13 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 EFTA01572929 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 EFTA01572930