📄 Extracted Text (5,235 words)
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
345 Park Avenue, New York, NY 10154-1002
ACCT.
For the Period 9/1/09 to 9/30/09
0000019415.00.0.20.00003.MAXWE00.20091002
GHISLAINE MAXWELL
16 ISLAND AVE APT 7D
MIAMI BEACH FL 33139-1331
Asset Account
J.P. Morgan Private Bank Team
Mary Casey
Janet Young
William Doherty III
Banker
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Cash and Short Term
Fixed Income
Other Assets
Portfolio Activity
Online access
www.MorganOnline.com
Page
2
4
7
11
14
15
Page 1 of 34
EFTA01568335
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Account Summary
Asset Allocation
Equity
Cash & Short Term
Fixed Income
Other Assets
Market Value
Accruals
Market Value with Accruals
Beginning
Ending
Market Value
609,150.93
336,371.25
452,948.00
15,498.00
$1,413,968.18
9,654.42
$1,423,622.60
Market Value
612,459.41
571,792.23
401,573.11
13,818.00
$1,599,642 75
6,551.76
$1,606,194 51
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
1,413,968.18
149,719.52
(343.95)
(119,350.39)
$30,025.18
9,488.25
146,161.14
$1,599,642.75
6,551.76
EFTA01568336
$1,606,194.51
Change
In Value
3,308.48
235,420.98
(51,374.89)
(1,680.00)
$185,674.57
(3,102.66)
$182,571.91
Year-to-Date
Value
6,377,327.40
1,049,719.52
(5,689,900.43)
(468,960.39)
($5,109,141.30)
22,772.20
308,684.45
$1,599,642.75
6,551.76
$1,606,194.51
Estimated
94.40
Current
Annual Income Allocation
38%
11,977.84
10,357.68
13.80
36%
25%
1%
100%
Fixed
Income
Equity
Other
Assets
Asset Allocation
Cash &
Short Term
Page 2 of 34
EFTA01568337
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
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
2.82
2,765.54
2,764.33
$5,532.69
3,955.56
$3,955.56
Year-to-Date
Value
1,919.85
9.37
1,826.12
2,770.98
$6,526.32
16,302.74
(56.86)
$16,245.88
Unrealized Gain/Loss
To-Date Value
($49,888.15)
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
10,232.00
$10,232.00
Year-to-Date
Value
(12,793.03)
10,232.00
($2,561.03)
Page 3 of 34
EFTA01568338
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Equity Summary
Asset Categories
US Large Cap
US Mid Cap/Small Cap
Non US Equity
Total Value
Beginning
Market Value
303,186.00
8,243.12
297,721.81
$609,150.93
Ending
Market Value
321,744.00
10,084.55
280,630.86
$612,459.41
Change
In Value
18,558.00
1,841.43
(17,090.95)
$3,308.48
Current
Allocation
19%
1%
18%
38%
US Mid Cap/Small Cap
US Large Cap
Asset Categories
Equity
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Yield
Period Value
612,459.41
682,153.98
(69,694.57)
94.40
0.02%
Non US Equity
Page 4 of 34
EFTA01568339
EFTA01568340
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Equity Detail
Estimated
Quantity
US Large Cap
GOOGLE INC
CL A
38259P-50-8 GOOG
PROSHARES ULTRASHORT S&P 500
Total US Large Cap
74347R-88-3 SDS
$321,744.00
US Mid Cap/Small Cap
LIVEPERSON INC
VISTEON CORP
DEFAULT
92839U-10-7 VSTN
Total US Mid Cap/Small Cap
Non US Equity
BP PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0007980591
SEDOL 0798059
G12793-91-8 GBP
Page 5 of 34
$10,084.55
$12,328.80
($2,244.25)
$0.00
0.00%
2,000.000
538146-10-1 LPSN
26.000
0.18
4.55
429.00
(424.45)
5.04
10,080.00
11,899.80
(1,819.80)
$357,510.20
($35,766.20)
$68.40
0.02%
600.000
40.39
24,234.00
29,777.50
(5,543.50)
EFTA01568341
68.40
0.28%
Price
Market
Value
Tax Cost
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
600.000
495.85
297,510 00
327,732 70
(30,222 70)
18.000
8.84
159.20
164.25
(5.05)
EFTA01568342
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Estimated
Quantity
Non US Equity
CURRENCY SHARES EURO TRUST
GLAXOSMITHKLINE PLC
23130C-10-8 FXE
1.000
HELD BY JPMORGAN CHASE BK LON
ISIN GB0009252882/SEDOL 0925288
G3910J-90-6 ZZZZ GBP
RESEARCH IN MOTION LIMITED
SPDR GOLD TRUST
Total Non US Equity
760975-10-2 RIMM
400.000
78463V-10-7 GLD
$280,630.86
$312,314.98
($31,684.12)
$26.00
0.01%
98.85
39,540.00
33,482.00
6,058.00
1,400.000
67.63
94,682.00
137,237.72
(42,555.72)
19.66
19.66
26.60
(6.94)
1,000.000
146.23
146,230.00
141,404.41
4,825.59
26.00
0.02%
Price
Market
Value
Tax Cost
Unrealized
Gain/Loss
Annual Income
Accrued
EFTA01568343
Dividends
Yield
Page 6 of 34
EFTA01568344
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Cash & Short Term Summary
Beginning
Asset Categories
Cash
Short Term
Total Value
Market Value
(99,602.93)
435,974.18
$336,371.25
Ending
Market Value
181,393.09
390,399.14
$571,792.23
Change
In Value
280,996.02
(45,575.04)
$235,420.98
Current
Allocation
11%
25%
36%
Asset Categories
Cash &
Short Term
Short Term
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Period Value
571,792.23
549,082.68
22,709.55
11,977.84
4,653.10
1.92%
Cash
Page 7 of 34
EFTA01568345
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Cash & Short Term Summary
SUMMARY BY MATURITY
Short Term
Less than 3 months
3-6 months
Total Value
SUMMARY BY TYPE
Short Term
International Bonds
Mutual Funds
Total Value
Market
Value
390,398.14
1.00
$390,399.14
% of Bond
Portfolio
99%
1%
100%
CONTINUED
Market
Value
109,595.30
280,803.84
$390,399.14
Page 8 of 34
EFTA01568346
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
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.
Cash & Short Term Detail
Quantity
Cash
AUSTRALIA DOLLAR
POUND STERLING
US DOLLAR
Total Cash
Short Term
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
MORGAN SHARE CLASS
FUND 3
4812A0-81-3
JP MORGAN CHASE BANK - NZD
LONDON TIME DEPOSITS 1.8500%
DATED 09/30/2009 MATURITY 11/30/2009
HELD BY LONDON TREASURY SERVICES
Bearer
60704L-9S-7 NZD
151,498.89
72.34
109,594.30
97,380.17
12,214.13
2,027.48
5.58
1.85%
1.00
1.00
1.00
1.00
77,531.25
7.71
112,955.56
0.88
1.60
1.00
68,425.20
12.33
112,955.56
$181,393.09
66,723.40
12.05
EFTA01568347
112,955.56
$179,691.01
$1,702.08
1,701.80
0.28
79.06
0.92
$79.06
$0.92
0.07%
0.04%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 9 of 34
EFTA01568348
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Quantity
Short Term
KFW - BRL
MEDIUM TERM NOTE 9 1/8% FEB 5 2010
DTD 10/05/2007
HELD BY EUROCLEAR ISIN:XS0323929546
SEDOL:B284W67
B11XZP-9B-7 AAA /AAA BRL
JP MORGAN CHASE BANK - AUD
LONDON TIME DEPOSITS 2.5000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60703R-9F-3 AUD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.8000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60703R-9T-3 NOK
Total Short Term
$390,399.14
$369,391.67
$21,007.47
$11,898.78
$4,652.18
2.80%
611,000.00
17.23
105,303.07
100,000.00
5,303.07
842.42
114.56
0.80%
119,047.61
88.26
105,065.49
100,000.00
5,065.49
2,626.63
357.43
2.49%
Price
Market
Value
Tax Cost
Adjusted
Original
EFTA01568349
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
125,000.00
56.35
70,435.28
72,010.50
(1,575.22)
6,402.25
4,174.61
7.71%
Page 10 of 34
EFTA01568350
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Fixed Income Summary
Asset Categories
US Fixed Income - Taxable
US Fixed Income - Non Taxable
Total Value
Beginning
Market Value
251,362.00
201,586.00
$452,948.00
Ending
Market Value
401,573.11
0.00
$401,573.11
Change
In Value
150,211.11
(201,586.00)
($51,374.89)
Current
Allocation
25%
25%
Asset Categories
Fixed
Income
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Period Value
401,573.11
400,886.74
686.37
10,357.68
1,898.66
2.41%
Page 11 of 34
EFTA01568351
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Fixed Income Summary
SUMMARY BY MATURITY
Fixed Income
Less than 5 years,
SUMMARY BY TYPE
Fixed Income
Corporate Bonds
Government and Agency Bonds
Total Value
Market
Value
201,104.11
200,469.00
$401,573.11
% of Bond
Portfolio
50%
50%
100%
Market
Value
401,573.11
CONTINUED
% of Bond
Portfolio
100%
1
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.
Page 12 of 34
EFTA01568352
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Fixed Income Detail
Quantity
US Fixed Income - Taxable
GOLDMAN SACHS GROUP INC
1 5/8% JUL 15 2011
DTD 01/21/2009
38146F-AF-8 AAA /AAA
INTL BK RECON & DEVELOP - BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
459058-96-1 AAA /AAA BRL
FEDERAL HOME LOAN BANK
1 1/2% DEC 14 2012
DTD 09/14/2009
STEP CPN
3133XU-NX-7 AAA /AAA
FEDERAL HOME LOAN BANK
2% SEP 30 2013
DTD 09/30/2009
STEP CPN
3133XU-TS-2 AAA /AAA
Total US Fixed Income - Taxable
$401,573.11
$400,886.74
$686.37
$10,357.68
$1,898.66
2.41%
100,000.000
100.31
100,313.00
100,000.00
313.00
2,000.00
5.50
1.92%
100,000.000
100.16
100,156.00
100,000.00
156.00
1,500.00
70.80
1.45%
90,000.000
55.12
49,608.61
EFTA01568353
50,106.74
(498.13)
4,420.18
1,307.86
9.50%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
150,000.000
101.00
151,495.50
150,780.00
715.50
2,437.50
514.50
1.06%
Page 13 of 34
EFTA01568354
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Other Assets Summary
Asset Categories
Other
Beginning
Estimated Value
15,498.00
Ending
Estimated Value
13,818.00
Change
In Value
(1,680.00)
Current
Allocation
1%
Asset Categories
Other
Assets
Other Assets Detail
Quantity
Other
PROSHARES ULTRSHORT QQQ
74347R-87-5 QID
600.000
23.03
13,818.00
17,407.50
(3,589.50)
Price
Estimated
Value
Cost
Estimated
Gain/Loss
Page 14 of 34
EFTA01568355
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
3,955.78
Contributions
Total Inflows
OUTFLOWS
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
209,000.00
(200,000.00)
$9,000.00
$112,955.56
* Year to date information is calculated on a calendar year basis.
6,571,763.37
(1,448,908.40)
$5,122,854.97
-$0.00
$0.00
$0.00
-(50,106.74)
($50,106.74)
149,719.52
$153,675.30
19,271.95
1,049,719.52
$1,068,991.47
(5,689,555.81)
(182.81)
(483,283.53)
($6,173,022.15)
$0.00
$0.00
$0.00
$0.00
Period
Value
387.00
EFTA01568356
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Page
15 of 34
EFTA01568357
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
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.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Settlement
Date
9/1
Type
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR AUG. @
.07% RATE ON NET AVG COLLECTED
BALANCE OF $3,674.99
AS OF 09/01/09
9/11
9/11
Free Delivery
Spot FX
RESEARCH IN MOTION LIMITED
JPMORGAN CLEARING CORP
TRADE DATE 09/11/09
LINKED CURRENCY TRANSACTION - BUY
BUY BRL SELL USD
EXCHANGE RATE 1.823600000
DEAL 09/08/09 VALUE 09/11/09
9/11
9/14
Misc. Receipt
Misc. Receipt
TRANSFER FROM MMIA A/C
TO COVER SECURITY PURCHASE
TO ASSET A/C.
50,106.74
99,612.78
91,374.650
(50,106.74)
(200.000)
Quantity
Per Unit
Amount
PRINCIPAL
Amount
0.22
EFTA01568358
INCOME
Amount
Year-To-Date
Value*
(56.86)
($56.86)
Page 16 of 34
EFTA01568359
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
INFLOWS & OUTFLOWS
Settlement
Date
9/18
Type
Non Taxable Exchange
Description
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
NON-TXBL CONVERSION A/0 09/18/09
EXCH 1 SHARE FOR 1.000000 OF CUSIP
4812A0813 TRADE DATE 09/18/09
TRADE DATE 09/18/09
9/18
Non Taxable Exchange
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
MORGAN SHARE CLASS
FUND 3
NON-TXBL CONVERSION A/0 09/18/09
EXCH 1 SHARE FOR 1.000000 OF CUSIP
4812A0821 TRADE DATE 09/18/09
TRADE DATE 09/18/09
9/29
Accrued Interest Received
CITY OF NEW YORK N Y
NYC PUBLIC IMPS UNLIMITED TAX
4% SUBSER L-1 APR 01 2019
DTD 4/23/2008 HELD BY DTC BOOK ENTRY
PAR CALL 04/01/2018 @ 100
Total Inflows & Outflows
$103,568.56
200,000.000
0.02
3,955.56
1.000
Quantity
(1.000)
Per Unit
Amount
PRINCIPAL
Amount
INCOME
Amount
Page 17 of 34
EFTA01568360
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
TRADE ACTIVITY
Note:
L
Trade
Date
9/24
Settlement
Date
9/29
indicates Long Term Realized Gain/Loss
Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Settled Sales/Maturities/Redemptions
Sale
Description
CITY OF NEW YORK N Y
NYC PUBLIC IMPS UNLIMITED TAX
4% SUBSER L-1 APR 01 2019
DTD 4/23/2008 HELD BY DTC BOOK ENTRY
PAR CALL 04/01/2018 @ 100
@ 104.50
JP MORGAN SECURITIES INC (BIDL)
TRADE DATE 09/24/09
Quantity
(200,000.000)
Per Unit
Amount
104.50
Proceeds
209,000.00
Tax Cost
(198,768.00)
Realized
Gain/Loss
10,232.00 L
Trade
Date
Settlement
Date
9/14
Type
Description
Settled Securities Purchased
8/19
Purchase
FEDERAL HOME LOAN BANK
1 1/2% DEC 14 2012
EFTA01568361
DTD 09/14/2009
STEP CPN
@ 100.00
JP MORGAN SECURITIES INC (BIDL)
TRADE DATE 08/19/09
Quantity
100,000.000
Per Unit
Amount
100.00
Market Cost
(100,000.00) *
Page 18 of 34
EFTA01568362
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Trade
Date
Settlement
Date
9/30
Type
Settled Securities Purchased
9/8
Purchase
Description
FEDERAL HOME LOAN BANK
2% SEP 30 2013
DTD 09/30/2009
STEP CPN
@ 100.00
JP MORGAN SECURITIES INC (BIDL)
TRADE DATE 09/08/09
Total Settled Securities Purchased
($200,000.00)
Quantity
100,000.000
Per Unit
Amount
100.00
Market Cost
(100,000.00)
Page 19 of 34
EFTA01568363
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
OUTFLOWS
Total Outflows
Tax Payments
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
64,545.00
$64,545.00
-64,545.00
(161,779.46)
($97,234.46)
-75,000.00
75,000.00
77,531.25
75,000.00
(194,925.11)
(119,925.11)
-Period
Value
Beginning Cash Balance
INFLOWS
Foreign Exchange - Inflows
Total Inflows
-2,420.44
$2,420.44
(242.04)
($242.04)
Year-To-Date
Value*
-1,250.43
162,949.47
$164,199.90
(242.04)
($242.04)
Local
Value
Current
Period Value
0.00
2,812.50
EFTA01568364
2,812.50
(281.25)
(281.25)
Year-To-Date
Value*
-1,375.50
196,362.11
197,737.61
(281.25)
(281.25)
Page
20 of 34
EFTA01568365
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - Australia Dollar
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Settlement
Date
9/15
Type
Foreign Interest
Description
AUSTRALIAN GOVERNMENT - AUD
7 1/2% SEP 15 2009
DTD 09/15/1996
HELD BY EUROCLEAR ISIN:AU0000XCLWF9
SEDOL:6058638
9/15
Foreign Tax Withheld
AUSTRALIAN GOVERNMENT - AUD
7 1/2% SEP 15 2009
DTD 09/15/1996
HELD BY EUROCLEAR ISIN:AU0000XCLWF9
SEDOL:6058638
TAX WITHHELD AUSTRALIA
10.00%
Total Inflows & Outflows
$2,178.40
Page 21 of 34
$0.00
(281.250)
(242.04)
(281.25)
Quantity
75,000.000
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
EFTA01568366
Value*
--Per
Unit
Amount USD
Local Value
0.032
0.038
PRINCIPAL
Amount USD
Local Value
2,420.44
2,812.50
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01568367
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
TRADE ACTIVITY - Australia Dollar
C indicates Currency Gain/Loss
Note:
Per Unit
Trade
Date
Settlement
Date
9/15
Type
Settled Sales/Maturities/Redemptions
9/15
Redemption
Description
AUSTRALIAN GOVERNMENT - AUD
7 1/2% SEP 15 2009
DTD 09/15/1996
HELD BY EUROCLEAR ISIN:AU0000XCLWF9
SEDOL:6058638
TO REDEMPTION
Quantity
(75,000.000)
Amount USD
Local Value
85.905
100.00
Proceeds USD
Local Value
64,545.00
75,000.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(61,779.46)
(75,877.50)
2,765.54 C
Page 22 of 34
EFTA01568368
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - Brazilian Real
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Foreign Exchange - Inflows
TRADE ACTIVITY
Total Trade Activity
Period Value
-50,106.74
$50,106.74
Settled
Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--(50,106.74)
($50,106.74)
-Year-To-Date
Value*
-122,117.24
$122,117.24
(122,117.24)
($122,117.24)
-Local
Value
Current
Period Value
0.00
EFTA01568369
91,374.65
91,374.65
(91,374.65)
(91,374.65)
0.00
Year-To-Date
Value*
-223,434.71
223,434.71
(223,434.71)
(223,434.71)
-Page
23 of 34
EFTA01568370
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Detail - Brazilian Real
INFLOWS & OUTFLOWS
Settlement
Date
9/11
Type
Spot FX
Description
LINKED CURRENCY TRANSACTION - BUY
BUY BRL SELL USD
EXCHANGE RATE 1.823600000
DEAL 09/08/09 VALUE 09/11/09
Quantity
(50,106.740)
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
50,106.74
91,374.65
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
TRADE ACTIVITY - Brazilian Real
Per Unit
Trade
Date
Settlement
Date
9/11
Type
Settled Securities Purchased
9/8
Purchase
Description
INTL BK RECON & DEVELOP BRL
8 3/4% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR ISIN:XS0446421157
SEDOL:B435Z93
Quantity
90,000.000
Amount USD
Local Value
55.631
EFTA01568371
101.527
Market
Cost USD
Local Value
(50,106.74)
(91,374.65)
Currency
Gain/Loss USD
Page 24 of 34
EFTA01568372
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - N Zealand Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Income
OUTFLOWS
Withdrawals
Tax Payments
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
$0.00
-60,244.23
(158,455.10)
($98,210.87)
-0.00
0.00
95,000.00
(246,388.23)
(151,388.23)
-Period
Value
Beginning Cash Balance
INFLOWS
Foreign Exchange - Inflows
Total Inflows
-343.67
$343.67
(343.67)
($343.67)
Year-To-Date
Value*
-654.00
98,216.82
$98,870.82
(343.67)
(316.28)
($659.95)
Local
Value
Current
Period Value
0.00
481.16
EFTA01568373
481.16
(481.16)
(481.16)
Year-To-Date
Value*
-1,013.89
151,354.25
152,368.14
(481.16)
(498.75)
(979.91)
Page
25 of 34
EFTA01568374
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - N Zealand Dollar
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - N Zealand Dollar
INFLOWS & OUTFLOWS
Settlement
Date
9/30
Type
Foreign Interest
Description
JP MORGAN CHASE BANK - NZD
LONDON TIME DEPOSITS 1.8500%
DATED 07/30/2009 MATURITY 09/30/2009
HELD BY LONDON TREASURY SERVICES
9/30
9/30
Misc. Disbursement
Receipt of Assets
REF: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NZD
N ZEALAND DOLLAR
151,498.890
LONDON TIME DEPOSITS 1.8500%
DATED 09/30/2009 MATURITY 11/30/2009
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
(481.160)
(343.67)
(481.16)
Quantity
151,017.730
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Per
EFTA01568375
Unit
Amount USD
Local Value
0.002
0.003
PRINCIPAL
Amount USD
Local Value
343.67
481.16
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 26 of 34
EFTA01568376
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
9/30
Type
Free Delivery
Description
JP MORGAN CHASE BANK - NZD
LONDON TIME DEPOSITS 1.8500%
DATED 07/30/2009 MATURITY 09/30/2009
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
Total Inflows & Outflows
$0.00
Quantity
(151,017.730)
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 34
EFTA01568377
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - NORWEGIAN KRONE
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Foreign Exchange - Inflows
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
$0.00
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
---Period
Value
-Year-To-Date
Value*
-100,000.00
$100,000.00
(100,000.00)
($100,000.00)
-Local
Value
Current
Period Value
0.00
Year-To-Date
Value*
EFTA01568378
-0.00
611,000.00
611,000.00
0.00
0.00
(611,000.00)
(611,000.00)
-Page
28 of 34
EFTA01568379
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Detail - NORWEGIAN KRONE
No Activity This Period
Page 29 of 34
EFTA01568380
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS
Total Outflows
Tax Payments
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-2.82
$2.82
(0.28)
($0.28)
-Year-To-Date
Value*
-9.37
$9.37
(0.95)
($0.95)
-Local
Value
Current
Period Value
6.18
EFTA01568381
1.70
1.70
(0.17)
(0.17)
7.71
Year-To-Date
Value*
-6.09
6.09
(0.62)
(0.62)
-Page
30 of 34
EFTA01568382
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Settlement
Date
9/8
Type
Foreign Dividend
Description
BP PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0007980591
SEDOL 0798059
9/8
Foreign Tax Withheld
@ 0.094477 PER SHARE
BP PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0007980591
SEDOL 0798059
TAX WITHHELD UNITED KINGDOM
10.00%
Total Inflows & Outflows
$2.54
$0.00
(0.170)
(0.28)
(0.17)
Quantity
18.000
Per Unit
Amount USD
Local Value
0.157
0.094
PRINCIPAL
Amount USD
Local Value
2.82
1.70
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 34
EFTA01568383
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
BRAZILIAN REAL
U S DOLLAR
Sep. 8 09
Sep. 11 09
BRL
USD
91,374.65
(50,106.74)
1.823600
1.823600
(50,106.74)
50,106.74
Amount
Counter Amount Contract Rate Revaluation Rate
Contracted Base
Amount USD
Revalued
Amount USD
Currency G/L
Page 32 of 34
EFTA01568384
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
In Case of Errors or Questions About Your Electronic Transfers.
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of this statement or write us at Road, 1/OPS,
Newark,DE19713-2107 as soon as you can, if you think your statement is wrong
or if you need more information about a
transferon the statement. We must hearfrom you no laterthan 60 days afterwe
sent you the FIRSTstatement on which the erroror problem appeared. (1)
Tellus yourname and account number. (2) Describe the erroror the transferyou
are unsure about, and explain as
clearlyas you can why you believeit is in erroror why you needmore
information. (3) tell us the dollaramount of the suspected error. Ifyou
contact us orally, you must send us yourcomplaint or question in writing
within 10 business days in orderto preserveyourrights. We
will investigateyour complaint and will correct any errorpromptly. Ifwe take
more than 10 business days to do this (20 days for purchases using your
debit card or for internationaltransactions),we will credit youraccount for
the amount you think is in error, so that you will
havethe use ofmoneyduring the time it takes us to complete our investigation.
In case of errors or questions about your statement, including your line of
credit.
Ifyou think that your statement is incorrect or if you need more information
about a transaction on your statement including a line of credit
transaction, you must write to us on a separatesheet describing the errorand
send it to: J.P. Morgan's Private Bank,
, 1/OPS3, Newark,DE19713-2107. We must hearfrom you no
laterthan 60 days afterthe statement on which the erroror problem appearedis
sent. You can contact yourclient servicespecialistbut doing so will not
preserveyour rights.
Pleasereviewyouraccount statement and promptly report any inaccuracyor
discrepancyincluding possible unauthorizedtrading activity,
unrecordeddividendpayments, and unaccounted cash positions in writing to
both the introducing broker, JPMSI and the clearing firm,
JPMCC at the addresses shown on your statement. Any oral communication
should be re-confirmed in writing to further protect your rights, including
your rights under the Securities InvestorProtection Act (SIPA). If you have
any questions please contact your JPMSI
Account Representativeor JPMSI ComplianceDepartmentat
In your letter, please provide the following information: (1) your name and
account number; (2) the dollaramount of the suspected error; and (3) a
description of the errorand explanation, if you can, why you believethere is
an error. Ifyou need more information, you must
describe the item you are unsure about.
Important Information about Pricing and Valuations
Certain assets including but not limited to, pooled private investments, non -
publicly traded and infrequently traded securities, derivatives, partnership
interests and tangible assets are generally illiquid, the value of which may
have been providedto us by third parties who
maynot be independent of the issueror manager. Such information is
reflectedas ofthe last date providedto us, and is not independently verified.
EFTA01568385
Prices, some ofwhich are providedby pricing servicesor othersources which we
deem reliable,are not guaranteedfor accuracyor as realizablevalues.
Marketvalueinformation (including without limitation, prices, exchangerates,
accruedincome and bond ratings) furnishedhereinhas been obtainedfrom sources
that J.P. Morgan believesto be reliableand is furnishedfor the exclusiveuse
of the client.
J.P. Morgan makes no representation,warrantyor guarantee,express or implied,
that any quoted value representsthe actual terms at which transactions or
securities could be bought or sold or new transactions could be enteredinto,
or the actual terms on which existing
transactions or securities could be liquidated.
The current price is the valueofthe financialasset share, unit or contract
as priced at the close of the marketon the last dayofthe statement periodor
the last availableprice.
All valuesprovidedfor structured yielddeposits (forexample,JPMorgan London
Time Deposits) reflectthe originaldeposit amount only.
The current valuefor RealEstate, Minerallnterestsand MiscellaneousAssets
maynot reflectthe most current valueof the asset.
Valuations of over-the-counterderivativetransactions, including certain
derivatives-relateddeposit products, have been preparedon a mid-market
basis. These valuations are indicative values as of the close of business of
the date of this statement and, except as otherwise
agreedin writing, these valuationsdo not representthe actual terms at which
transactions or securities could be bought or sold or new transactions could
be enteredinto, or the actual terms on which existing transactions or
securities could be liquidatedas of the date of this
statement. We do not warrant their completeness or accuracy. These
valuationsare derivedfrom proprietarymodels basedupon well-
recognizedfinancialprinciples and we have, when necessaryto calculate the
present valueof future cash flows, made reasonable estimates
about relevantfuture market conditions. Valuationsbased on other models or
differentassumptions may yield differentresults. J.P. Morgan
expresslydisclaims any responsibilityfor (1) the accuracyof the models or
estimates used in deriving the valuations, (2) any errors or
omissions in computing or disseminating the valuations, and (3)anyuses to
which the valuationsare put. Valuations are providedfor information purposes
only and are intendedsolelyfor yourown use. Pleasereferto the trade
confirmation for details ofeach transaction.
Pleasereviewyourstatement promptly and report anydiscrepanciesimmediatelyto
an account officerwhose name appearson the contact page of this statement.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American
Century Funds
Shares of the funds are not bank deposits and are not guaranteedby any bank,
governmententity, or the FDIC. Return and share price will fluctuate and
redemption valuemay be more or less than original cost. While the money
marketfunds seekto maintain a stable net
asset valueof$1.O8 pershare, there is no assurancethat they will continue to
do so. The estimatedannualincome and dividendyieldfigures for mutual funds
representthe funds' most recentincome dividendannualized.
The distributor ofthe JPMorgan Funds is JPMorgan Distribution Services,Inc.,
which is an affiliateof the Bank. The Bankand its
EFTA01568386
affiliatesreceivecompensation from JPMorgan Funds for providing services.
AmericanCenturylnvestmentServices,Inc. is the distributor of the
AmericanCenturyFunds. AmericanCenturylnvestmentManagementlnc. servesas
investment advisorto its respectivefund familyand receivescompensation from
that fund familyfor providing investment advisoryand other services.
Page 33 of 34
EFTA01568387
GHISLAINE MAXWELL ACCT.
For the Period 9/1/09 to 9/30/09
Important Information RegardingAuction Rate Securities (ARS). ARS are debt
or preferredsecurities with an interest or dividend rate reset
periodicallyin an auction. Although there may be daily, weeklyand monthly
resets, there is no guaranteethat there will be liquidity. If
there are not enough bids at an auction to redeemthe securities availablefor
sale, the result maybe a failedauction. In a failedauction, there is no
assurancethat a secondarymarket will developor that the security will trade
at paror anyother price reflectedon statements.
Accordingly, investors should not relyon pricing information appearingin
theirstatements with respect to ARS.
Additional Information About Your Accounts
Securities purchased or sold through JPMSI (1) other than mutual funds and
fixed income securities, are clearedthrough J.P.Morgan ClearingCorp.
("JPMCC"),an affiliateof JPMSI, and (2) other than exchange-listedoptions,
are held in your Asset Account at JPMorgan
Chase Bank, N.A. Fixed income securities purchased or sold through JPMSI are
clearedthrough JPMSI. Positions in exchange-listedoptions are held by
J.P.Morgan Clearing Corp. and are not deliveredto or from your Asset
Account. For your convenience, however,
positions in exchange-listedoptions are presentedin this Asset Account
statement togetherwith otherassets held in that account. All
pertinentinformation about yoursettled and pending purchasesand sales
effected through yourJPMSI account during the period covered
by this statement, is summarizedin the "Trade Activity" portion of this
statement.
You should have receivedseparate confirmations for each securities
transaction. All transactions are subject to the terms and conditions stated
on the reverse side of such confirmations and are subject to the
constitution, by-laws, customs and interpretations of the
marketplacewhere executedand governedby and construed in accordance with the
laws of the State of New Yorkand all applicablefederallaws and regulations.
Furtherinformation with respect to commissions and other charges relatedto
the execution of transactions,
including options transactions, has been included in confirmations that were
previouslyfurnishedto you. Upon written request, JPMSI will promptly supply
you with the latest such information.
Shareholdersof certain JPMorgan Funds are chargeda redemption fee equalto 2%
of the proceeds if they exchangeor redeemshares of such funds within 60 days
of purchase, subject to certain exceptions set forth in the prospectus of
the applicableFund. Please consult
yourJ.P. Morgan representativefora list of the JPMorgan Funds that impose
redemption fees.
JPMCC and JPMSI are members of the Securities InvestorProtection Corp
("SIPC"),a not-for-profit membership corporation funded by broker-dealers
registeredwith the Securities and ExchangeCommission. Securitiesand cash
held for a customer at JPMSI and JPMCC
are protected by SIPC up to $500,000 per customer, which includes up to
$100,000 of protection for cash. SIPC does not protect against losses from
fluctuations in the value of the securities. Assets held in custody by
EFTA01568388
3PMorgan Chase Bank, N.A. (the "Bank")are not
subject to SIPC. Youmay obtain information about SIPC, including the
SIPCBrochure, on theirwebsite, at "www.sipc.org" or by contacting them at
To the extent applicable,pleasereadthe following disclosures
regardingestimated annualincome (EAI)and estimated yield (EY):EAland EYfor
certain types of securities could include a return of principalor capital
gains in which case the EAland EYwould be overstated. EAI
and EYare estimates and the actual income and yieldmight be loweror
higherthan the estimatedamounts. EYreflects only the income generatedby an
investment. It does not reflectchanges in its price, which mayfluctuate.
.JPMSI, JPMCB or their affiliates(the "J.P. Morgan Companies")may provide
administrative, custodial, sales, distribution or shareholderservices to
3PMorgan Funds, American CenturyFunds, or funds established, sponsored,
advised, or managedby third parties, and the
J.P. Morgan Companiesmaybe compensatedfor such services.
A financialstatement of this organizationis availableto you for
personalinspection at its offices, or a copy will be mailedto you upon
written request.
Bank products and services are offered through JPMCB and its affiliates.
Securities are offered by JPMSI and cleared through JPMCC.
Ifa partialcall is made with respect to an issue of securities included in
yourAccount we will allocate the call by a method we deem fairand equitable.
You must promptly advise3PMSI ofmaterialchanges in yourinvestment
objectivesor financialsituation. Unless you inform JPMSI otherwise, JPMSI
will considerthe information currentlyin its files to be complete and
accurate.
JPMSI is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMCB. The securities sold, offered, or recommended by
JPMSI:
(1) Are not insured by the Federal Deposit Insurance Corporation, or any
other governmental agency;
(2) Are not deposits or other obligations of 3PMSI's bank or thrift
affiliates (unless otherwise indicated), and are not guaranteed by or the
responsibility of any such affiliates (unless explicitly stated otherwise);
and
(3) Involve investment risks, including possible loss of the principal
invested.
3PMSI's banking affiliatesmay be lenders to issuers of securities that JPMSI
underwrites, in which case proceeds of offerings underwritten by JPMSI may
be used for the repaymentof such loans, and you should referto the
disclosure documents relating to particular
securities for discussion of any such lending relationships. The
FederalReserverequires that JPMSI obtain your consent before it can obtain
certain information from its bank or thrift affiliates, including their
credit evaluationof you. We will assume that your continuing to
transact business with JPMSI will constitute yourconsent to the sharing
ofsuch information by JPMSI and its bankor thrift affiliates,to the extent
permitted by law.
DEPOSITS IN FOREIGN BRANCHES ARE NOT INSURED BY THE FDIC, THE FEDERAL
RESERVE BOARD OR ANY OTHER GOVERNMENTAL AGENCY; AMOUNTS IN THE TIME DEPOSITS
EFTA01568389
DO NOT HAVE THE BENEFIT OF ANY DOMESTIC
PREFERENCE APPLICABLE TO U.S. BANKS.
Page 34 of 34
EFTA01568390
ℹ️ Document Details
SHA-256
afe18cad9cb166ac25f524d5132705f7dbad0c8490bbeed5aa7aa95812788454
Bates Number
EFTA01568335
Dataset
DataSet-10
Document Type
document
Pages
56
Comments 0