EFTA01574571.pdf

JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL IRA 345 Park Avenue, New York, NY 10154-1002 Asset Account JPMorgan Private Bank Team Mary Casey Francisco Villacis Amy Webb Online access Banker Client Service Team Client Service Team www.MorganOnline.com Table of Contents Account Summary Holdings Cash and Short Term Portfolio Activity 4 5 Page 2 Client News Trade confirmations for the sale and purchase of money market mutual funds in your J.P.Morgan Securities Inc. account will no longer be mailed to you, effective October 27, 2008. Transactions will continue to be included on your account statement. You also may access your transaction history through Morgan Online. To enroll in Morgan Online, contact your JPMorgan Private Bank Service team. ACCT. For the Period 9/1/08 to 9/30/08 GHISLAINE MAXWELL C/O NEW YORK STRATEGY GROUP 457 MADISON AVENUE, 4TH FLOOR NEW YORK, NY 10022 Page 1 of 8 EFTA01574571 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 Account Summary Asset Allocation Cash & Short Term Market Value Accruals Market Value with Accruals Beginning Ending Market Value 30,782.86 $30,782.86 36.27 $30,819.13 Market Value 32,367.95 $32,367.95 28.64 $32,396.59 Current Portfolio Activity Beginning Market Value Contributions Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals $0.00 36.27 1,548.82 $32,367.95 28.64 $32,396.59 Period Value 30,782.86 Change In Value 1,585.09 $1,585.09 (7.63) $1,577.46 Year-to-Date Value 0.00 30,692.96 $30,692.96 126.17 1,548.82 $32,367.95 28.64 $32,396.59 Estimated 405.21 Current Annual Income Allocation 100% 100% Page 2 of 8 EFTA01574572 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 Account Summary Tax Summary Interest Income Taxable Income CONTINUED Current Period Value 36.27 $36.27 Year-to-Date Value 126.17 $126.17 ST Realized Gain/Loss Realized Gain/Loss Current Period Value 1,548.82 $1,548.82 Year-to-Date Value 1,548.82 $1,548.82 Page 3 of 8 EFTA01574573 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 Cash & Short Term Summary Beginning Asset Categories Cash Market Value 30,782.86 Ending Market Value 32,367.95 Change In Value 1,585.09 Current Allocation 100% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield Period Value 32,367.95 32,367.95 405.21 28.64 1.40% Cash & Short Term Detail Quantity Cash US DOLLAR 32,367.95 1.00 32,367.95 32,367.95 405.21 28.64 1.40% Price Market Value Tax Cost Adjusted Original Estimated Unrealized Gain/Loss Annual Income Accrued Interest Yield Page 4 of 8 EFTA01574574 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 Portfolio Activity Summary Beginning Cash Balance Transactions Income INFLOWS 36.27 Contributions Total Inflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 31,846.82 (30,298.00) $1,548.82 $32,367.95 * Year to date information is calculated on a calendar year basis. 31,846.82 (30,298.00) $1,548.82 -$36.27 126.17 30,692.96 $30,819.13 Current Period Value 30,782.86 Year-To-Date Value* -Portfolio Activity Detail INFLOWS & OUTFLOWS Settlement Date 9/2 Type Interest Income Description DEPOSIT SWEEP INTEREST FOR AUG. @ 1.39% RATE ON NET AVG COLLECTED BALANCE OF $30,782.86 AS OF 09/01/08 Quantity Per Unit Amount Amount 36.27 Page 5 of 8 EFTA01574575 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 TRADE ACTIVITY Note: Trade Date 9/19 Settlement Date 9/24 S indicates Short Term Realized Gain/Loss Type Settled Sales/Maturities/Redemptions Sale Description RESEARCH IN MOTION LTD @ 106.49 BROKERAGE TAX &/OR SEC Quantity (300.000) 31,947.00 100.00 .18 J.P. MORGAN SECURITIES INC. TRADE DATE 09/19/08 Per Unit Amount 106.49 Proceeds 31,846.82 Tax Cost (30,298.00) Realized Gain/Loss 1,548.82 S Trade Date Settlement Date 9/18 Type Description Settled Securities Purchased 9/15 Purchase RESEARCH IN MOTION LTD @ 100.66 BROKERAGE Quantity 300.000 30,198.00 100.00 J.P. MORGAN SECURITIES INC. TRADE DATE 09/15/08 Per Unit Amount 100.66 Market Cost (30,298.00) Page 6 of 8 EFTA01574576 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 In Case of Errors or Questions About Your Electronic Transfers. Contact yourMorgan Teamat one ofthe telephonenumbers on the front of this statem ent or write us at 500 Stanton ChristianaRoad, 1/OPS, Newark,DE19713-2107 as soo n as you can, if you think yourstatement is wrong or if you needmore information about a transfer on 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 a ccount number. (2) Describethe erroror the transferyou are unsure about, and exp lainas clearly as you can why you believe it is in erroror why you need more information. (3) tell us the dollaramount of the suspected error. Ifyou contact us orally, you must s end us your complaint or question in writing within 10 business days in order to preserveyour rights. We will investigateyourcomplaint and will correct any errorpromptly. Ifwe take more than 10 business days to do this (20 days for purchases using yourdebit card or for internationaltransactions),we will credit youraccount for the amount you think i s in error, so that you will have the use ofmoneyduring the time it takes us to complete our investigation. In case of errors or questions about your statement, including your line of cred it. If you think that your statement is incorrect or if you need more information ab out a transaction on your statement including a line of credit transaction, you must write to us on a separate sheet describing the errorand send it to: JPMorga n Private Bank, 500 Stanton ChristianaRoad, 1/OPS3, Newark,DE19713-2107. We must hearfrom you no laterthan 6 0 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 anyinaccuracyor discrepanc yincluding possible unauthorizedtrading activity, unrecordeddividendpayments, an d unaccountedcash positions in writing. Any oral communication should be re-conf irmedin writing to furtherprotect yourrights, including yourrights underthe Securities InvestorProt ection Act (SIPA). Ifyou haveanyquestions pleasecontact yourJPMSI Account Repres entativeor JPMSI ComplianceDepartmentat (212)483-2323. In your letter, please provide the following information: (1) your name and acco unt number; (2) the dollaramount of the suspected error; and (3) a description o f 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-pub licly traded and infrequently traded securities, derivatives, partnership intere sts 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 o fthe last date providedto us, and is not independently verified. Prices, some ofwhich are providedby pricing servicesor othersources which we dee m reliable,are not guaranteedfor accuracyor as realizablevalues. Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein has been obtained from sources that the Bank believesto be reliableand is furnished for the exclusiveuse of th e client. The Bank makes no representation,warrantyor guarantee,expressor implied, that anyquoted valuerepre sentsthe actual terms at which transactions or securities could be bought or sol d or new transactions could be enteredinto, or the actual terms on which existin g transactions or securities could be liquidated. The current price is the valueofthe financialasset share, unit or contract as pr iced at the close of the marketon the last dayofthe statement periodor the last availableprice. All valuesprovidedfor structured yielddeposits (forexample,JPMorgan London Time EFTA01574577 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 derivati ves-relateddeposit products, have been preparedon a mid-market basis. These valu ations are indicative values as of the close of business of the date of this sta tement and, except as otherwise agreedin writing, these valuationsdo not representthe actual terms at which tran sactions or securities could be bought or sold or new transactions could be ente redinto, 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. Valuations based on other models or diff erent assumptions may yield different results. Morgan expresslydisclaims any res ponsibility for (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. Valuationsare providedfor information purposes only and a re intendedsolelyfor yourown use. Pleasereferto the trade confirmation for detai is ofeach transaction. At yourrequest, assets maybe reflectedhereineventhough they are held by a third partyunaffiliatedwith JPMorgan. In such case, unless JPMorgan otherwise agrees,J PMorgan has no responsibilityfor the verification,valuation, safekeepingor manag ementofthose assets. Pleasereviewyourstatement promptly and report anydiscrepanciesimmediatelyto an a ccount officerwhose name appearson the contact page of this statement. Important Information RegardingAuction Rate Securities (ARS). ARS are debt or pr eferredsecurities with an interest or dividend rate reset periodicallyin an auct ion. Although there may be daily, weeklyand monthly resets, there is no guarante ethat there will be liquidity. If there are not enough bids at an auction to redeemthe securities availablefor sal e, the result maybe a failedauction. In a failedauction, there is no assuranceth at a secondarymarket will developor that the security will trade at paror anyoth er price reflectedon statements. Accordingly, investors should not relyon pricing information appearingin theirst atements with respect to ARS. JPMSI is the custodian of listed options and most mutual funds, including third partymutual funds, purchasedthrough JPMSI. You must promptly adviseJPMSI ofmaterialchanges in yourinvestment objectivesor f inancialsituation. Unless you inform JPMSI otherwise, JPMSI will considerthe inf ormation currentlyin its files to be complete and accurate. Page 7 of 8 EFTA01574578 GHISLAINE MAXWELL IRA ACCT. For the Period 9/1/08 to 9/30/08 You should have receivedseparateJPMSI confirmations for each securities transact ion. All transactions are subject to the terms and conditions stated on the reve rseside of such confirmations and are subject to the constitution, by-laws, cust oms and interpretationsof the marketplacewhere executedand governedby and construed in accordance with the law s of the State of New Yorkand all applicablefederallaws and regulations. Further information with respect to commissions and other charges relatedto the executio n of transactions, including options transactions, has been included in confirmations that were pre viouslyfurnishedto you. Upon written request, JPMSI will promptly supply you wit h the latest such information. Shareholdersof certain JPM Funds are chargeda redemption fee equalto 2% of the p roceeds if they exchangeor redeemshares ofsuch funds within 60 days of purchase, subject to certain exceptions set forth in the prospectus of the applicableFund . Pleaseconsult your JPMorgan representativefora list of the JPM Funds that impose redemption fees. JPMSI is a memberof the Securities InvestorProtection Corporation ("SIPC"),a not -for-profit membership corporation funded by broker-dealers registeredwith the S ecurities and ExchangeCommission. Securities and cash held for a customer at JPM SI are protected by SIPC up to $500,000 per customer, which includes up to $100,000 of protection fo r cash. SIPC does not protect against losses from fluctuations in the value of t he securities. Assets held in custody by JPMorgan Chase Bank, N.A. (the "Bank")a re not subject to SIPC. Youmay obtain information about SIPC, including the SIPCBrochure, on theirwebsit e, at "www.sipc.org" or by contacting them at (202)371-8300. J.P. Morgan Securities Inc., JPMorgan Chase Bank, N.A. or their affiliates(the " Morgan Companies")mayprovide administrative,custodial, sales, distribution or sh areholderservicesto JPMorgan Funds, AmericanCenturyFunds, or funds established, sponsored, advised, or managedby third parties, and the Morgan Companiesmaybe compensatedfor such servi ces. JPMorgan Private Bank is the marketing name for the private banking business con ducted by J.P.Morgan Chase & Co. through its subsidiaries worldwide, including J PMorgan Chase Bank, N.A. and J.P. Morgan Securities Inc. Page 8 of 8 EFTA01574579