📄 Extracted Text (8,188 words)
GHISLAINE MAXWELL
EFTA01571522
EFTA01571523
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 7/1/13 to 7/31/13
Asset 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
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Other Assets
Portfolio Activity
Page
2
5
8
9
15
17
Client News
The following information supersedes that which you
received as part of your June statement insert,
"J.P. Morgan Securities LLC, Important information and
disclosures."
SEC Regulation NMS Rule 607 - Payment for Order
Flow
JPMS LLC may pay from time to time for certain order
flow in the form of discounts, rebates, reductions of fees
or credits. As a result of sending orders to certain trading
centers, JPMS LLC receives payment for order flow in the
form of discounts, rebates, reductions of fees or credits.
EFTA01571524
Under some circumstances, the amount of such
remuneration may exceed the amount that JPMS LLC is
charged by such trading centers. This does not alter
JPMS LLC's policy to route customer orders to the
trading center where it believes clients will receive the
best execution, taking into account price, reliability,
market depth, quality of service, speed and efficiency.
0000012196.00.0.9E.00001.MAXWE04.20130802
Page 1 of 33
EFTA01571525
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Other
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
714,477.11
58,311.44
3,370,728.95
148,139.72
$4,291,657.22
19,365.29
$4,311,022.51
Ending
Market Value
967,067.91
62,735.05
3,992,151.75
148,917.08
$5,170,871.79
12,676.71
$5,183,548.50
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
4,291,657.22
849,480.50
(241.14)
1,589,323.03
(1,589,081.89)
$849,480.50
(10,958.02)
40,692.09
EFTA01571526
$5,170,871.79
12,676.71
$5,183,548.50
Change
In Value
252,590.80
4,423.61
621,422.80
777.36
$879,214.57
(6,688.58)
$872,525.99
Year-to-Date
Value
8,349,258.16
849,480.50
(4,001,612.28)
9,189,436.46
(10,069,128.37)
($4,031,823.69)
39,549.01
813,888.31
$5,170,871.79
12,676.71
$5,183,548.50
Estimated
50,706.16
32,988.72
$83,694.88
Current
Annual Income Allocation
21%
1%
75%
3%
100%
Cash &
Fixed Income
Equity
Other
Alternative
Assets
Asset Allocation
Page 2 of 33
EFTA01571527
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
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
571.51
(28,518.69)
16,289.23
($11,657.95)
1,250.00
(550.07)
$699.93
Year-to-Date
Value
7,173.69
7,316.63
(28,586.80)
49,982.59
$35,886.11
6,250.00
(2,587.10)
$3,662.90
Unrealized Gain/Loss
To-Date Value
($52,775.38)
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(3,819.05)
($3,819.05)
Year-to-Date
Value
(57,641.45)
($57,641.45)
Note: * This summary is for informational purposes only and is not to be
used for any financial or tax purposes. This summary does not include
securities which are taxable at the
federal level but are state exempt. This summary may not include all income
derived from Municipal Securities; Please consult your tax advisor for tax
implications.
EFTA01571528
1 Other category combines all the remaining Tax Exempt Income generated by
securities in the account which may not have a state affiliation.
Tax-Exempt Income
Summary by State*
MA
MI
Current
Period Value
699.93
Year-to-Date
Value
1,410.07
708.94
Tax-Exempt Income
Summary by State*
TX
Tax-Exempt Income
$699.93
Current
Period Value
Year-to-Date
Value
1,543.89
$3,662.90
Page 3 of 33
EFTA01571529
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Account Summary
Cost Summary
Equity
Cash & Fixed Income
Other
Total
CONTINUED
Cost
944,362.24
4,050,285.87
92,027.29
$5,086,675.40
Page 4 of 33
EFTA01571530
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Non-US Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Equity Detail
Price
US Large Cap Equity
APACHE CORP
037411-10-5 APA
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Beginning
Market Value
45,374.53
4,500.00
122.08
447,872.00
216,608.50
$714,477.11
Ending
Market Value
301,484.01
3,930.00
134.40
444,970.00
216,549.50
$967,067.91
Current
Period Value
967,067.91
944,362.24
EFTA01571531
22,705.67
50,706.16
4,851.85
5.23%
US Large Cap Equity
Change
In Value
256,109.48
(570.00)
12.32
(2,902.00)
(59.00)
$252,590.80
Current
Allocation
6%
1%
1%
9%
4%
21%
Preferred Stocks
US Small/Mid Cap Equity
Non-US Equity
Asset Categories
Concentrated & Other Equity
Equity as a percentage of your portfolio - 21 %
80.25
95.000
7,623.75
11,403.30
(3,779.55)
76.00
19.00
1.00%
Page 5 of 33
EFTA01571532
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
US Large Cap Equity
BANK OF AMERICA CORP
CITIGROUP INC NEW
SCHLUMBERGER LTD
SPDR S&P 500 ETF TRUST
Total US Large Cap Equity
060505-10-4 BAC
52.14
172967-42-4 C
81.33
806857-10-8 SLB
168.71
78462F-10-3 SPY
$301,484.01
$295,532.56
$5,951.45
$5,253.66
$19.00
US Small/Mid Cap Equity
GERON CORP
374163-10-3 GERN
Non-US Equity
RIO TINTO PLC
ISIN GB0007188757 SEDOL 0718875
766994-90-9 BP
1.75%
1,495.000
252,221.45
250,407.85
1,813.60
4,984.33
1.98%
113.000
9,190.29
9,524.04
(333.75)
141.25
1.54%
358.000
18,666.12
14,048.52
4,617.60
14.32
0.08%
14.60
944.000
13,782.40
10,148.85
EFTA01571533
3,633.55
37.76
0.27%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
1.31
3,000.000
3,930.00
18,129.32
(14,199.32)
44.80
3.000
134.40
212.23
(77.83)
Page 6 of 33
EFTA01571534
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PN NA /BA1
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
25.82
2,500.000
64,550.00
$444,970.00
62,500.00
$422,578.96
2,050.00
$22,391.04
4,187.50
$31,227.50
$1,837.50
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BA1
Total Concentrated & Other Equity
$216,549.50
$207,909.17
$8,640.33
$14,225.00
$2,995.35
6.52%
111.07
150,000.000
166,609.50
157,909.17
8,700.33
11,850.00
2,995.35
7.05%
6.49%
7.02%
25.10
EFTA01571535
4,200.000
105,420.00
98,778.96
6,641.04
7,350.00
1,837.50
6.97%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
27.50
10,000.000
275,000.00
261,300.00
13,700.00
19,690.00
7.16%
49.94
1,000.000
49,940.00
50,000.00
(60.00)
2,375.00
4.76%
Page 7 of 33
EFTA01571536
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Estimated Value
58,311.44
Alternative Assets Detail
Price
Hard Assets
ETFS METAL SECURITIES LTD
ISIN JE0081VS3770 SEDOL BlVS377
131994-91-5
SPDR GOLD TRUST
Total Hard Assets
78463V-10-7 GLD
$62,735.05
$76,999.78
127.96
190.000
24,312.40
31,931.40
127.65
301.000
38,422.65
45,068.38
Quantity
Estimated
Value
Cost
Ending
Estimated Value
62,735.05
Change
In Value
4,423.61
Current
Allocation
1%
Page 8 of 33
EFTA01571537
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
Non-USD Short Term
US Fixed Income
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
1,924,211.77
22,844.67
654,278.68
619,314.77
150,079.06
$3,370,728.95
Ending
Market Value
2,530,554.08
136,317.56
553,083.93
620,974.57
151,221.61
$3,992,151.75
Current
Period Value
3,992,151.75
4,050,285.87
(58,134.12)
32,988.72
7,824.86
0.95%
US Fixed Income
Change
In Value
606,342.31
113,472.89
(101,194.75)
1,659.80
1,142.55
$621,422.80
Current
EFTA01571538
Allocation
46%
3%
11%
12%
3%
75%
Non-USD Short Term
Non-US Fixed Income
Non-USD Cash
Asset Categories
Cash
Cash & Fixed Income as a percentage of your portfolio 75 %
Page 9 of 33
EFTA01571539
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years'
10+ years'
Total Value
1
SUMMARY BY TYPE
Market
Value
3,235,811.17
230,095.08
309,693.50
216,552.00
$3,992,151.75
% of Bond
Portfolio
83%
5%
7%
5%
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.
Note:
A - Bonds purchased at a premium show amortization.
1
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
3PM NY MUNI MMKT FD - MORGAN
FUND 3
7-Day Annualized Yield: .01%
Total Cash
1.00
1.00
2,530,553.08
1.00
2,530,553.08
1.00
$2,530,554.08
2,530,553.08
1.00
$2,530,554.08
$0.00
EFTA01571540
$253.05
$17.02
0.01%
253.05
17.02
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Cash & Fixed Income
Cash
NON USD Cash
Corporate Bonds
Municipal Bonds
International Bonds
Mutual Funds
Total Value
Market
Value
2,530,554.08
136,317.56
309,693.50
216,552.00
778,873.80
20,160.81
$3,992,151.75
% of Bond
Portfolio
65%
3%
7%
5%
19%
1%
100%
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.
Page 10 of 33
EFTA01571541
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
Non-USD Cash
AUSTRALIAN DOLLAR
POUND STERLING
HONG KONG DOLLAR
TURKISH LIRA NEW
PRINCIPAL CURRENCY
Total Non-USD Cash
0.90
1.52
0.13
0.51
100.00
8,617.80
950.00
239,000.00
89.74
13,065.01
122.50
123,040.31
$136,317.56
103.25
13,536.35
122.44
124,045.53
$137,807.57
(13.51)
(471.34)
0.06
(1,005.22)
($1,490.01)
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Non-USD Short Term
JP MORGAN CHASE BANK - CAD
97.27
LONDON TIME DEPOSITS 0.6200%
DATED 07/31/2013 MATURITY 08/07/2013
HELD BY LONDON TREASURY SERVICES
Bearer
EFTA01571542
2536F9-9X-5 AD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.9000%
DATED 07/31/2013 MATURITY 08/07/2013
HELD BY LONDON TREASURY SERVICES
Bearer
2536G9-9M-8 OK
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA NR
1.62
7/29/13
6,700,000.00
108,623.08
143,232.17
(34,609.09)
3,385.69
1,196.50
5.25%
16.91
1,242,096.15
210,024.62
209,659.93
364.69
1,890.22
5.25
0.94%
116,132.88
112,964.23
113,732.94
(768.71)
700.37
1.92
0.63%
Page 11 of 33
EFTA01571543
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
Non-USD Short Term
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL B4YWHCO
45818W-9K-4 AAA /AAA DR
Total Non-USD Short Term
$553,083.93
$616,737.15
($63,653.22)
$14,198.12
$2,510.04
US Fixed Income
JPM MANAGED RESERVES FD - GBP-C-DIST
ISIN LU0539309053
051398-91-5 BP
ISHARES GBP CORPORATE BOND UCITS ETF
ISIN IE00B00FV011 SEDOL B00FV01
461278-91-3 BP
HSBC FINANCE CORP
MEDIUM TERM NOTE 2.9% OCT 15 2015
DTD 10/15/2010
40429X-YB-6 A /BAA
GENERAL ELEC CAP CORP
MEDIUM TERM FLOATING RATE NOTE
MAY 11 2016 DTD 05/11/2007
36962G-2V-5 AA+ /A1
BANK OF AMERICA CORP
MEDIUM TERM NOTE
3.6% NOV 15 2016
DTD 11/04/2010
06050W-DW-2 A- /BAA
Page 12 of 33
104.81
150,000.00
157,215.00
150,000.00
7,215.00
5,400.00
1,140.00
2.08%
99.08
50,000.00
49,538.50
45,394.50
4,144.00
237.55
EFTA01571544
54.10
0.81%
102.94
100,000.00
102,940.00
100,000.00
2,940.00
2,900.00
853.80
1.54%
192.01
105.00
20,160.81
19,023.08
1,137.73
9,751.31
7.65
74,568.26
80,157.26
(5,589.00)
4.21%
0.01 1,300,000,000.00
121,472.00
150,112.11
(28,640.11)
8,221.84
1,306.37
12.26%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
EFTA01571545
GHISLAINE MAXWELL
ACCT.
For the Period 7/1/13 to 7/31/13
Price
US Fixed Income
A MI ST MUNI BOND AUTH
ST CLEAN WTR REVOLVING FD 5%
OCT 01 2026 DTD 11/02/2006
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 10/01/2016 @ 100
59455T-PF-3 AAA /AAA
A BIRDVILLE TEXAS INDEPENDENT SCHOOL
DIST PERM SCH GTD FUND UNLIMITED TAX
5% FEB 15 2029 DTD 01/15/2007
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 02/15/2017 @ 100
090874-FV-5 AAA /AAA
A MA ST HLTH & EDUCTNL FACS AUTH
REVENUE HARVARD UNIV 5% B
JUL 15 2032 DTD 08/03/2005
HELD BY DTC BOOK ENTRY ONLY
PAR CALL 07/15/2015 @ 100
57586C-FW-0 AAA /AAA
Total US Fixed Income
$620,974.57
$607,681.75
$614,541.84
Non-US Fixed Income
BLUEBAY HIGH YIELD BD FD GBP HDG-DB
ISIN LU0222772518
G13289-92-4 BP
190.72
187.90
35,835.73
39,293.00
(3,457.27)
$13,292.82
$18,537.55
$5,297.80
2.33%
105.10
50,000.00
52,549.50
52,224.59
54,040.00
324.91
2,500.00
111.10
4.59%
108.47
100,000.00
EFTA01571546
108,465.00
107,258.16
110,503.00
1,206.84
5,000.00
2,305.50
4.25%
111.08
50,000.00
55,537.50
53,624.16
55,424.00
1,913.34
2,500.00
833.30
3.91%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 13 of 33
EFTA01571547
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
Non-US Fixed Income
ISHARES GBP INDEX-LINKED GILTS
UCITS ETF
ISIN IE0081FZSD53 SEDOL B1G52V0
46578W-92-2 BP
Total Non-US Fixed Income
$151,221.61
$157,505.32
($6,283.71)
$0.00
0.00%
19.93
5,790.00
115,385.88
118,212.32
(2,826.44)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 14 of 33
EFTA01571548
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Other Summary
Asset Categories
Balanced
Beginning
Estimated Value
148,139.72
Ending
Estimated Value
148,917.08
Change
In Value
777.36
Current
Allocation
3%
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Note:
**
Period Value
148,917.08
92,027.29
(3,082.20)
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.
Other Detail
Price
Balanced
JPM INC OPP FD - GBP - A - DIST(HDG)
ISIN LU0323456201
287991-93-9 BP
136.88
450.272
61,635.10
1,663.11 **
N/A
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Page 15 of 33
EFTA01571549
EFTA01571550
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Price
Balanced
PIMCO FUNDS GLOBAL INVESTORS SERIES
- GLOBAL INVESTMENT GRADE CREDIT
FUND
ISIN IE00B3BMD843 SEDOL B3BMD84
695421-91-7 BP
Total Balanced
$148,917.08
$92,027.29
($3,082.20)
20.01
4,361.513
87,281.98
90,364.18
(3,082.20)
Quantity
Value
Adjusted Cost
Original Cost
Unrealized
Gain/Loss
Accruals
Page 16 of 33
EFTA01571551
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
INFLOWS
Income
Contributions
Total Inflows
OUTFLOWS **
Total Outflows
Withdrawals
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
17,190.60
(250,407.85)
($250,407.85)
$2,530,553.08
(250,407.85)
($233,217.25)
-$0.00
$0.00
$0.00
-Period
Value
1,924,210.77
7,269.66
849,480.50
$856,750.16
Year-To-Date
Value*
-53,480.80
849,480.50
$902,961.30
(4,000,000.00)
($4,000,000.00)
INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
EFTA01571552
$0.00
$0.00
Current
Cost
Adjustments
Amortization
Total Cost Adjustments
Period Value
(550.07)
($550.07)
Year-To-Date
Value*
(2,587.10)
($2,587.10)
Page 17 of 33
EFTA01571553
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - U S Dollar
* 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
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
7/1
7/2
7/11
7/12
7/15
Interest Income
Interest Income
Misc Receipt
Foreign Dividend
Municipal Interest
Description
DEPOSIT SWEEP INTEREST FOR 06/01/13 - 06/30/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$1,923,302.74 AS OF 07/01/13
JPM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER
SHARE (ID: 48125E-20-7)
PHONE INSTRUCTIONS FROM CLIENT FROM
TO
SCHLUMBERGER LTD @ 0.3125 PER SHARE
(ID: 806857-10-8)
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
(ID: 57586C-FW-0)
7/29
7/30
Misc Receipt
Interest Income
Total Inflows & Outflows
INTERNAL TRANSFER OF FUNDS
CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187
PER SHARE (ID: 173080-20-1)
10,000.000
0.492
599,480.50
4,921.87
$856,750.16
113.000
50,000.000
0.312
EFTA01571554
0.025
2,500.000
0.419
1,046.88
250,000.00
35.31
1,250.00
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
15.60
INCOME
Amount
Page 18 of 33
EFTA01571555
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
TRADE ACTIVITY
Trade Date
Settle Date
Type
Settled Securities Purchased
7/12
Purchase
7/17
Description
SPDR S&P 500 ETF TRUST @ 167.43 250,307.85
BROKERAGE 100.00 J.P. MORGAN SECURITIES LLC
(ID: 78462F-10-3)
COST ADJUSTMENTS
Settle Date
7/15
Type
Amortization
Description
MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD
UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100
MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 57586C-FW-0)
Quantity
50,000.000
Cost Basis
Adjustments
(550.07)
Quantity
1,495.000
Per Unit
Amount
167.497
Market Cost
(250,407.85)
Page 19 of 33
EFTA01571556
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Canadian Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-60.08
$60.08
(60.08)
($60.08)
-Year-To-Date
Value*
-402.53
$402.53
(402.53)
($402.53)
-Local
Value
Current
Period Value
0.00
62.51
62.51
(62.51)
(62.51)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01571557
Year-To-Date
Value*
--Year-To-Date
Value*
-410.53
410.53
(410.53)
(410.53)
-Page
20 of 33
EFTA01571558
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Canadian Dollar
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
557,639.94
(557,579.88)
Year-To-Date
Value*
2,956,075.02
(3,410,536.42)
* 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
Portfolio Activity Detail - Canadian Dollar
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/3
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 06/27/2013 MATURITY 07/03/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2535V9-9K-7)
7/3
7/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/03/2013 MATURITY 07/10/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2535X9-9C-3)
7/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
(12.870)
(12.22)
(12.87)
Page 21 of 33
(11.030)
116,081.400
(10.46)
(11.03)
12.22
EFTA01571559
12.87
Quantity
116,070.370
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
10.46
11.03
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01571560
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/17
Foreign Interest
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/10/2013 MATURITY 07/17/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2535Z9-9D-9)
7/17
7/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/17/2013 MATURITY 07/24/2013
HELD BY LONDON TREASURY SERVICES
(ID: 253669-9F-8)
7/24
7/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Foreign Interest
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/24/2013 MATURITY 07/31/2013
HELD BY LONDON TREASURY SERVICES
(ID: 2536D9-9Q-2)
7/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR
(ID: OCADPR-AA-6)
Total Inflows & Outflows
(12.870)
(12.51)
(12.87)
$0.00
(12.870)
116,120.010
(12.51)
(12.87)
12.51
12.87
(12.870)
116,107.140
(12.38)
(12.87)
12.51
12.87
EFTA01571561
Quantity
116,094.270
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
12.38
12.87
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 22 of 33
EFTA01571562
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
7/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/03/2013 MATURITY 07/10/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535X9-9C-3)
7/10
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/10/2013 MATURITY 07/17/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535Z9-9D-9)
7/17
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/17/2013 MATURITY 07/24/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253669-9F-8)
7/24
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/24/2013 MATURITY 07/31/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536D9-9Q-2)
7/31
Receipt of Assets
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.6200% DATED 07/31/2013 MATURITY 08/07/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536F9-9X-5)
Total Securities Transferred In
$557,639.94
116,132.880
113,732.94
112,848.97
116,120.010
113,720.43
112,830.99
116,107.140
113,707.92
111,689.81
116,094.270
113,695.54
110,214.33
EFTA01571563
* 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
Cost
116,081.400
113,683.32
Transaction
Market Value *
110,055.84
Page 23 of 33
EFTA01571564
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
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
Settle Date Selection Method
Securities Transferred Out
7/3
Free Delivery
Description
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 06/27/2013 MATURITY 07/03/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535V9-9K-7)
7/10
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/03/2013 MATURITY 07/10/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535X9-9C-3)
7/17
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/10/2013 MATURITY 07/17/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535Z9-9D-9)
7/24
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/17/2013 MATURITY 07/24/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253669-9F-8)
7/31
Free Delivery
JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS
0.5700% DATED 07/24/2013 MATURITY 07/31/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536D9-9Q-2)
Total Securities Transferred Out
($557,579.88)
(116,120.010)
113,720.43
(112,836.47)
(116,107.140)
113,707.92
(112,818.48)
(116,094.270)
113,695.54
EFTA01571565
(111,677.43)
(116,081.400)
113,683.32
(110,202.12)
Quantity
Cost
(116,070.370)
113,672.86
Transaction
Market Value *
(110,045.38)
Page 24 of 33
EFTA01571566
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
Period Value
-181.06
$181.06
(181.06)
($181.06)
-Year-To-Date
Value*
-1,188.40
$1,188.40
(1,188.40)
($1,188.40)
-Local
Value
Current
Period Value
0.00
1,089.71
1,089.71
(1,089.71)
(1,089.71)
0.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01571567
Year-To-Date
Value*
--Year-To-Date
Value*
-6,860.18
6,860.18
(6,860.18)
(6,860.18)
-Page
25 of 33
EFTA01571568
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Norwegian Krone
Current
Securities Transferred In/Out
Securities Transferred In
Securities Transferred Out
Period Value
1,031,683.09
(1,031,502.01)
Year-To-Date
Value*
6,233,361.44
(6,658,591.95)
* 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
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/3
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2535V9-9X-9)
7/3
7/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2535X9-9M-1)
7/10
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
(229.280)
(36.98)
(229.28)
Page 26 of 33
(196.490)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,241,202.930
0.9500% DATED 07/03/2013 MATURITY 07/10/2013
(32.33)
(196.49)
36.98
229.28
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,241,006.440
EFTA01571569
0.9500% DATED 06/27/2013 MATURITY 07/03/2013
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
32.33
196.49
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01571570
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/17
Foreign Interest
Description
HELD BY LONDON TREASURY SERVICES
(ID: 2535Z9-9N-7)
7/17
7/24
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 253669-9T-8)
7/24
7/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Foreign Interest
HELD BY LONDON TREASURY SERVICES
(ID: 2536E9-9C-2)
7/31
Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE
(ID: ONOKPR-AA-1)
Total Inflows & Outflows
(217.330)
(36.61)
(217.33)
$0.00
(217.290)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,241,878.820
0.9000% DATED 07/24/2013 MATURITY 07/31/2013
(36.88)
(217.29)
36.61
217.33
(229.320)
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,241,661.530
0.9000% DATED 07/17/2013 MATURITY 07/24/2013
(38.26)
(229.32)
36.88
217.29
Quantity
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,241,432.210
0.9500% DATED 07/10/2013 MATURITY 07/17/2013
Amount USD
EFTA01571571
Local Value
PRINCIPAL
Amount USD
Local Value
38.26
229.32
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 27 of 33
EFTA01571572
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
SECURITIES TRANSFERRED IN/OUT
Notes:
Settle Date Selection Method
Securities Transferred In
7/3
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 07/03/2013 MATURITY 07/10/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535X9-9M-1)
7/10
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 07/10/2013 MATURITY 07/17/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535Z9-9N-7)
7/17
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 07/17/2013 MATURITY 07/24/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253669-9T-8)
7/24
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 07/24/2013 MATURITY 07/31/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536E9-9C-2)
7/31
Receipt of Assets
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 07/31/2013 MATURITY 08/07/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536G9-9M-8)
Total Securities Transferred In
$1,031,683.09
1,242,096.150
209,659.93
209,248.00
1,241,878.820
209,623.32
210,798.77
1,241,661.530
209,586.44
207,169.74
1,241,432.210
209,548.18
200,239.07
EFTA01571573
* 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
Cost
1,241,202.930
209,511.20
Transaction
Market Value *
204,227.51
Page 28 of 33
EFTA01571574
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
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
Settle Date Selection Method
Securities Transferred Out
7/3
Free Delivery
Description
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 06/27/2013 MATURITY 07/03/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535V9-9X-9)
7/10
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 07/03/2013 MATURITY 07/10/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535X9-9M-1)
7/17
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9500% DATED 07/10/2013 MATURITY 07/17/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2535Z9-9N-7)
7/24
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 07/17/2013 MATURITY 07/24/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 253669-9T-8)
7/31
Free Delivery
JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS
0.9000% DATED 07/24/2013 MATURITY 07/31/2013
HELD BY LONDON TREASURY SERVICES CLIENT REF FTD
(ID: 2536E9-9C-2)
Total Securities Transferred Out
($1,031,502.01)
(1,241,878.820 )
209,623.32
(209,211.39)
(1,241,661.530 )
209,586.44
(210,761.89)
(1,241,432.210 )
209,548.18
EFTA01571575
(207,131.47)
(1,241,202.930 )
209,511.20
(200,202.09)
Quantity
Cost
(1,241,006.440 )
209,478.87
Transaction
Market Value *
(204,195.17)
Page 29 of 33
EFTA01571576
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Pound Sterling
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Tax Payments
$0.00
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
$0.00
Ending Cash Balance
-Period
Value
-536.20
$536.20
Year-To-Date
Value*
-5,587.44
$5,587.44
(21.35)
($21.35)
(1,663.11)
($1,663.11)
-0.00
Local
Value
Current
Period Value
8,257.51
360.29
360.29
Year-To-Date
Value*
-3,657.17
3,657.17
(13.37)
(13.37)
0.00
8,617.80
INCOME
US
Dollar Value
EFTA01571577
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--(1,095.27)
(1,095.27)
-Page
30 of 33
EFTA01571578
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Pound Sterling
* 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
Portfolio Activity Detail - Pound Sterling
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/5
Foreign Dividend
Description
BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN
LU0222772518 @ 1.9175 PER SHARE CONY. @ "CONV
RATE" (ID: G13289-92-4)
Quantity
187.898
Amount USD
Local Value
2.854
1.917
PRINCIPAL
Amount USD
Local Value
536.20
360.29
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 31 of 33
EFTA01571579
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Turkish Lira New
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
TRADE ACTIVITY
Total Trade Activity
Settled Sales/Maturities/Redemptions
Ending Cash Balance
Period Value
-10,063.74
$10,063.74
103,217.82
$103,217.82
-Year-To-Date
Value*
-10,063.74
$10,063.74
103,217.82
$103,217.82
-Local
Value
Current
Period Value
19,500.00
19,500.00
19,500.00
200,000.00
200,000.00
239,000.00
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
EFTA01571580
Year-To-Date
Value*
--Year-To-Date
Value*
-19,500.00
19,500.00
200,000.00
200,000.00
-Page
32 of 33
EFTA01571581
GHISLAINE MAXWELL ACCT.
For the Period 7/1/13 to 7/31/13
Portfolio Activity Summary - Turkish Lira New
* 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
Portfolio Activity Detail - Turkish Lira New
INFLOWS & OUTFLOWS
Per Unit
Type
Settle Date Selection Method
7/16
Foreign Interest
Description
KFW - TRY MTN 9 3/4% JUL 16 2013 DTD 02/10/2010
HELD BY EUROCLEAR ISIN XS0484842470 SEDOL
B637YV8 TO REDEMPTION (ID: OTRYPR-AA-5)
TRADE ACTIVITY - Turkish Lira New
L indicates Long Term Realized Gain/Loss
Note:
Trade Date
Settle Date
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
7/16
7/16
Redemption
Pro Rata
KFW - TRY MTN 9 3/4% JUL 16 2013 DTD 02/10/2010
HELD BY EUROCLEAR ISIN XS0484842470 SEDOL
B637YV8 TO REDEMPTION (ID: 14085A-9A-6)
Quantity
(200,000.000)
Quantity
19,500.000
Amount USD
Local Value
0.516
1.00
PRINCIPAL
Amount USD
Local Value
10,063.74
19,500.00
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01571582
C indicates Currency Gain/Loss
Per Unit
Amount USD
Local Value
51.609
100.00
Proceeds USD
Local Value
103,217.82
200,000.00
Tax Cost USD
Realized
Local Value Gain/Loss USD
(135,555.56)
(207,400.00)
(3,819.05) L
(28,518.69) C
Page 33 of 33
EFTA01571583
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EFTA01571584
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
EFTA01571585
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 5
EFTA01571586
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 ASSET ACCOUNT(S)
(LINKED TO JPMS)
Your Asset Account consists of a bank account that custodies assets linked
to a brokerage account through which securities transactions are executed.
As a result, the Asset Account statement(s) reflect
brokerage transactions executed through JPMS but (except for exchange listed
options) held in custody at JPMCB. Securities purchased or sold through JPMS
in U.S. markets (other then mutual
funds) are cleared through an affiliate of JPMS, in non-U.S. markets
securities are cleared through JPMS. Positions in exchange-listed options
are held by JPMCC. For your convenience, however,
positions in exchange-listed options are presented in Asset Account
statement(s) together with other assets held in such account(s). All
pertinent information about your settled and pending purchases
and sales effected through your JPMS account during the period covered by
these statement(s), is summarized in the "Trade Activity" portion of the
statement(s).
In Case of Other Errors or Questions About Your Asset Account Statement(s)
Please review your statement(s) and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
EFTA01571587
improper payments or transfers in writing to both the introducing broker,
JPMS and the clearing firm, JPMCC at the addresses shown on your
statement(s). Any oral communication should be
re-confirmed in writing to further protect your rights, including your
rights under the Securities Investor Protection Act (SIPA). 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.
JPMCC and JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMCC are protected
by SIPC up to $500,000 per customer, which includes up to $250,000 of
protection for cash. SIPC does not protect
against losses from fluctuations in the value of the securities. Assets held
in custody by JPMCB are not subject to SIPC. You may obtain information
about SIPC, including the SIPC Brochure, on their
website, at "www.sipc.org" or by contacting them at (202) 371-8300.
In Case of Errors or Questions About Your Electronic Transfers.
Disclosures Page 2 of 5
EFTA01571588
For the Period 7/1/13 to 7/31/13
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of your statements or write us at J.P. Morgan, 500 Stanton Christiana Road,
1/OPS3, Newark, DE 19713-2107 as soon as
you can, if you think your statement is wrong or if you need more
information about a transfer on the statement. We must hear from you no
later than 60 days after we sent you the FIRST statement on
which the error or problem appeared. (1) Tell us your name and account
number. (2) Describe the error or the transfer you are unsure about, and
explain as clearly as you can why you believe it is an
error or why you need more information. (3) Tell us the dollar amount of the
suspected error. We will investigate your complaint and will correct any
error promptly. If we take more than 10 business
days (or 20 business days for new accounts) to do this, we will credit your
account for the amount you think is in error, so that you will have the use
of the money during the time it takes us to complete
our investigation.
In Case of Errors or Questions About Non-Electronic Transfers (Checks or
Deposits)
Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a
statement is incorrect or if you need more information about any non-
electronic transactions (checks or deposits) on this
statement. If any such error appears, you must notify the bank in writing as
soon as possible after your statement was made available to you. For more
complete details, see the applicable account
agreements and appendices that govern your account.
Deposit products and services are offered by JPMCB Member FDIC.
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
modify the management of your account. Unless you
inform otherwise, your J.P.Morga
ℹ️ Document Details
SHA-256
b4bfd20f5d96c27ce467dd44c1f039a9f3ea308c60cf4e7e6121d9372e45d86a
Bates Number
EFTA01571522
Dataset
DataSet-10
Document Type
document
Pages
73
Comments 0