EFTA01521381.pdf

GHISLAINE MAXWELL For the Period 9/1/12 to 9/30/12 TRADE ACTIVITY Note: L indicates Long Term Realized Gain/Loss Trade Date Type Per Unit Realized Settle Date Selection Method Description Quantity Amount Proceeds Tax Cost Gain/Loss Settled Sales/Maturities/Redemptions 9/13 Redemption MS 7YNClY STEP-UP NOTE 09/13/17 INITIAL RATE (150,000.000) 100.00 150,000.00 (150,000.00) 9/13 Pro Rata 2.75% CPN WHERE MAX RATE IS 5% PER ANNUM DO 9/8/10 ENTIRE ISSUE CALLED 0 100.00 (ID: 81745E-80-9) 9/11 Sale ISHARES SILVER TRUST 0 32.41 3Z410.00 (1,000.000) 32.349 32,349.27 (44,010.03) (11,560.78) L 9/14 High Cost BROKERAGE 60.00 TAX 8/OR SEC .73 J.P. MORGAN SECURITIES LLC (ID 46428Q-10-9) Total Settled Sales/Maturities/Redemptions 8182,349.27 ($194,010.03) ($11,660.76) L Trade Date Par Una Settle Date Type Description Quantity Amount Market Cost Settled Securities Purchased 9/11 Purchase SPDR GOLD TRUST 0 168.00 31,920.00 BROKERAGE 190.000 168.06 (31,931.40) 9/14 11.40 J.P. MORGAN SECURITIES LLC (ID: 78463V-10-7) JP Morgan Page 19 of 32 Confidential Treatment Requested by JPMorgan JPM-SDNY-00048760 Chase CONFIDENTIAL SDNY_GM_00317958 EFTA01521381