EFTA01519468.pdf

CHISLAINE MAXWELL -TAP DYS ACCT.M5006 For the Perlod 2/1/14 to 2/28/14 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 Quantity Transaction Settle Date Selection Method Description Cost Market Value • Securities Transferred Out 2/26 Free Delivery AVENUE MUT FDS TR CRED STRA INST TRANSFER TO (2,734.963) (31,780.27) UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 30,896.00 (ID: 05358F-30-1) 2/26 Free Delivery BLACKROCK HIGH YIELD BOND TRANSFER TO UBS (7,292312) (60,817.88) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 59201.48 (ID: 091929-63-8) 2/26 Free Delivery COHEN 8 STEERS PREFERRED SECURITIES AND INCOME (4,493.967) (59,679.88) FUND INC TRANSFER TO UBS FINANCIAL SERVICES 60,407.99 INC. TRADE DATE 02/25/14 (ID: 19248X-30.7) 2/26 Free Delivery COLUMBIA FD SER TRT - COLUMBIA CONVERTIBLE (1,987.557) (38,200.85) SECURITIES FD -Z TRANSFER TO UBS FINANCIAL 36,465.00 SERVICES INC. TRADE DATE 02/25/14 (ID: 19765H-72-7) 2/26 Free Delivery DOUBLELINE TOTAL RET BD-I TRANSFER TO UBS (12.498.155) (137,479.71) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 142,229.00 (ID: 258620-10-3) 2/26 Free Delivery EATON VANCE FLOATING-RATE ADVANTAGE I TRANSFER (7,524.150) (84,195.24) TO UBS FINANCIAL SERVICES INC. TRADE DATE 84,120.00 02/25/14 (ID: 277923-63-7) 2/26 Free Delivery GATEWAY FUND-Y TRANSFER TO UBS FINANCIAL (1,069.208) (31,358.30) SERVICES INC. TRADE DATE 02/25/14 30,040.38 (ID: 387829438-4) 2/26 Free Delivery HSBC FDS TOTAL RETURN I TRANSFER TO UBS (3,858.567) (38,778.60) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 39,704.65 (ID: 40428X-15-6) J.P. Morgan AceountM5006 Page 12 of 15 Consolidated Statement Page 61 Confidential Treatment Requested by JPMorgan JPM-SDNY-00046755 Chase CONFIDENTIAL SDNY_GM_00315953 EFTA01519468