📄 Extracted Text (6,713 words)
GHISLAINE MAXWELL
EFTA01574295
EFTA01574296
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL-HY
270 Park Avenue, New York, NY 10017-2014
ACCT.
For the Period 6/1/13 to 6/30/13
Investment Management 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
Page
2
Holdings
Cash & Fixed Income
Portfolio Activity
4
20
0000002319.00.0.9E.00001.MAXEW00.20130702
Page 1 of 30
EFTA01574297
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Account Summary
Asset Allocation
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
1,115,924.74
$1,115,924.74
18,516.94
$1,134,441.68
Ending
Market Value
1,087,738.84
$1,087,738.84
16,120.90
$1,103,859.74
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
$0.00
8,143.33
(36,329.23)
$1,087,738.84
16,120.90
$1,103,859.74
Period Value
1,115,924.74
Change
In Value
(28,185.90)
($28,185.90)
(2,396.04)
($30,581.94)
Year-to-Date
Value
1,098,358.35
(8,414.34)
($8,414.34)
35,322.35
(37,527.52)
EFTA01574298
$1,087,738.84
16,120.90
$1,103,859.74
Estimated
67,888.12
$67,888.12
Current
Annual Income Allocation
100%
100%
Page 2 of 30
EFTA01574299
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Account Summary
Tax Summary
Interest Income
Accrued Interest Current Year
Taxable Income
CONTINUED
Current
Period Value
8,458.87
(315.54)
$8,143.33
Year-to-Date
Value
37,700.22
(2,377.87)
$35,322.35
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(77.50)
1,878.55
$1,801.05
Year-to-Date
Value
14.70
1,461.18
$1,475.88
Unrealized Gain/Loss
To-Date Value
$8,629.40
Cost Summary
Cash & Fixed Income
1,079,109.44
Cost
Total
$1,079,109.44
Page 3 of 30
EFTA01574300
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1-5 years,
5-10 years,
10+ years,
Total Value
1
Market Value
38,629.35
1,077,295.39
$1,115,924.74
Ending
Market Value
73,697.48
1,014,041.36
$1,087,738.84
Current
Period Value
1,087,738.84
1,079,109.44
8,629.40
67,888.12
16,120.90
5.16%
SUMMARY BY TYPE
Market
Value
92,066.93
305,194.80
666,294.31
24,182.80
$1,087,738.84
% of Bond
Portfolio
EFTA01574301
8%
28%
62%
2%
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.
Cash & Fixed Income
Cash
Corporate Bonds
International Bonds
Total Value
Market
Value
73,697.48
965,071.77
48,969.59
$1,087,738.84
% of Bond
Portfolio
6%
90%
4%
100%
US Fixed Income
Change
In Value
35,068.13
(63,254.03)
($28,185.90)
Current
Allocation
7%
93%
100%
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 100%
Page 4 of 30
EFTA01574302
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Note:
P indicates position adjusted for Pending Trade Activity.
Cash & Fixed Income Detail
Price
Cash
US DOLLAR
COST OF PENDING PURCHASES
PROCEEDS FROM PENDING SALES
Total Cash
1.00
1.00
1.00
73,737.48
(2,200.00)
2,160.00
73,737.48
(2,200.00)
2,160.00
$73,697.48
73,737.48
(2,200.00)
2,160.00
$73,697.48
$0.00
$7.37
$0.38
US Fixed Income
ROYAL BANK SCOTLAND GRP PLC
5.05% JAN 08 2015
DTD 12/08/2004
780097-AP-6 BB+ /BA3
LENNAR CORPORATION
5.6% MAY 31 2015
DTD 4/28/2005
526057-AS-3 BB- /BA3
CITYCENTER HLDGS/FINANCE
7 5/8% JAN 15 2016
DTD 07/15/2011
178760-AB-0 B /B1
105.50
5,000.00
5,275.00
5,275.00
381.25
175.79
5.28%
101.05
10,000.00
EFTA01574303
10,104.70
10,336.25
(231.55)
505.00
242.68
105.75
10,000.00
10,575.00
9,905.00
670.00
560.00
46.66
4.33%
0.01%
7.37
0.38
0.01%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
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.
2.50%
Page 5 of 30
EFTA01574304
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
D R HORTON INC
6 1/2% APR 15 2016
DTD 04/17/2006
23331A-AZ-2 BB /BA2
HEALTH MANAGEMENT ASSOCIATION
6 1/8% APR 15 2016
DTD 04/21/2006
421933-AH-5 BB- /NR
BANK OF AMERICA CORP
3 3/4% JUL 12 2016
DTD 07/12/2011
06051G-EK-1 A- /BAA
SEAGATE TECHNOLOGY HDD H
SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006
81180R-AE-2 BB+ /BA1
SPRINT NEXTEL CORP
6% DEC 1 2016
DTD 11/20/2006
852061-AD-2 B+ /B3
VULCAN MATERIALS
6 1/2% DEC 01 2016
DTD 06/14/2011
929160-AQ-2 BB /BA3
HANESBRANDS INC
8% DEC 15 2016
DTD 12/10/2009
410345-AF-9 BB /BA3
105.25
5,000.00
5,262.50
5,412.50
(150.00)
400.00
17.77
6.28%
108.00
10,000.00
10,800.00
10,975.00
(175.00)
650.00
54.16
3.97%
110.88
2,000.00
2,217.50
EFTA01574305
2,120.00
97.50
136.00
34.00
105.75
20,000.00
21,150.00
17,385.00
3,765.00
1,200.00
100.00
3.25%
104.89
5,000.00
5,244.65
4,581.50
663.15
187.50
88.02
2.08%
108.25
10,000.00
10,825.00
10,400.00
425.00
612.50
129.30
3.02%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
108.00
10,000.00
10,800.00
10,495.00
305.00
650.00
137.22
3.46%
4.18%
Page 6 of 30
EFTA01574306
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
WPX ENERGY INC
5.25% JAN 15 2017
DTD 06/25/2012
98212B-AC-7 BB+ /BA1
AIRCASTLE LTD
6.75% APR 15 2017
DTD 06/06/2012
00928Q-AF-8 BB+ /BA3
JARDEN CORP
SR SUB NOTES 7 1/2% MAY 1 2017
DTD 2/13/2007
471109-AB-4 B /B1
CONSTELLATION BRANDS INC
7 1/4% MAY 15 2017
DTD 11/15/2007
21036P-AF-5 BB+ /BA1
RRI ENERGY INC
7 7/8% JUN 15 2017
DTD 06/13/2007
74971X-AC-1 B /B2
SERVICE CORP INTL
7% JUN 15 2017
DTD 06/15/2006
MULTI CPN
817565-BF-0 BB- /B1
SMITHFIELD FOODS INC
SR NOTES 7 3/4% JUL 1 2017
DTD 6/22/2007
832248-AQ-1 BB /B1
110.25
10,000.00
11,025.00
10,475.00
550.00
775.00
387.50
4.90%
110.25
20,000.00
22,050.00
21,700.00
350.00
1,400.00
62.22
4.16%
114.38
15,000.00
EFTA01574307
17,156.25
16,500.00
656.25
1,087.50
138.94
106.50
15,000.00
15,975.00
15,112.50
862.50
1,181.25
52.50
3.27%
109.75
19,000.00
20,852.50
20,572.50
280.00
105.40
3,000.00
3,162.00
3,177.50
(15.50)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
101.88
5,000.00
5,093.75
5,362.50
(268.75)
262.50
121.04
202.50
42.75
1,425.00
237.50
4.67%
5.16%
4.69%
6.00%
Page 7 of 30
EFTA01574308
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
PINNACLE ENTERTAINMENT
8 5/8% AUG 01 2017
DTD 02/01/2010
723456-AK-5 BB- /B1
CHESAPEAKE ENERGY CORP
6 1/2% AUG 15 2017
DTD 8/16/2005
165167-BS-5 BB- /BA3
CCO HLDGS LLC CAP CORP
7 1/4% OCT 30 2017
DTD 09/27/2010
1248EP-AQ-6 BB- /B1
WINDSTREAM CORP
7 7/8% NOV 01 2017
DTD 10/08/2009
97381W-AJ-3 B /B1
MGM RESORTS INTL
11.375% MAR 01 2018
DTD 09/22/2009
55303Q-AA-8 B+ /B3
CIT GROUP INC
5 1/4% MAR 15 2018
DTD 03/15/2012
125581-GL-6 BB- /BA3
CABLEVISION SYSTEMS CORP
SR NOTES 7 3/4% APR 15 2018
DTD 04/15/2010
12686C-AZ-2 B+ /B1
108.25
10,000.00
10,825.00
10,775.00
50.00
775.00
163.61
5.75%
102.75
20,000.00
20,550.00
20,140.00
410.00
1,050.00
309.16
4.59%
124.00
5,000.00
6,200.00
EFTA01574309
6,575.00
(375.00)
568.75
189.58
5.47%
110.00
20,000.00
22,000.00
21,450.00
550.00
1,575.00
262.50
5.26%
106.38
9,000.00
9,573.75
9,495.00
78.75
652.50
110.55
5.57%
106.75
15,000.00
16,012.50
15,975.00
37.50
975.00
368.32
4.68%
104.00
10,000.00
10,400.00
10,850.00
(450.00)
862.50
359.37
7.47%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 8 of 30
EFTA01574310
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
MERRILL LYNCH & CO
MEDIUM TERM NOTES 6 7/8% APR 25 2018
DTD 04/25/2008
59018Y-N6-4 A- /BAA
ALLBRITTON COMMUNICATION
8% MAY 15 2018
DTD 04/30/2010
016745-AL-5 B+ /B2
CKE RESTAURANTS INC
11 3/8% JUL 15 2018
DTD 07/12/2010
12561E-AK-1 B- /B2
COMMERCIAL METALS CO
NOTE 7.35% AUG 15 2018
DTD 08/04/2008
201723-AJ-2 BB+ /BA2
METROPCS WIRELESS INC
SR NOTES 7 7/8% SEP 01 2018
DTD 09/21/2010
591709-AK-6 BB /BA3
FRONTIER COMMUNICATIONS
SR NOTES 8 1/8% OCT 01 2018
DTD 10/01/2009
35906A-AB-4 BB- /BA2
BURGER KING CORP
9 7/8% OCT 15 2018
DTD 10/19/2010
121207-AA-2 B /B3
111.25
5,000.00
5,562.50
5,762.50
(200.00)
493.75
104.23
7.27%
110.00
20,000.00
22,000.00
21,950.00
50.00
1,625.00
406.24
5.88%
107.00
15,000.00
16,050.00
EFTA01574311
16,012.50
37.50
1,181.25
393.75
6.27%
108.86
10,000.00
10,886.10
11,087.50
(201.40)
735.00
277.66
5.35%
103.38
7,000.00
7,236.25
7,735.00
(498.75)
796.25
367.15
10.49%
105.98
10,000.00
10,598.00
10,300.00
298.00
800.00
102.22
6.54%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
114.67
10,000.00
11,466.70
11,080.41
386.29
687.50
126.04
3.54%
Page 9 of 30
EFTA01574312
GHISLAINE MAXWELL-HY
ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
NIELSEN FINANCE LLC/CO
7 3/4% OCT 15 2018
DTD 04/15/2011
65409Q-AY-8 BB- /B2
P DINEEQUITY INC
9 1/2% OCT 30 2018
DTD 04/30/2011
254423-AB-2 B- /B3
DAVITA INC
6 3/8% NOV 01 2018
DTD 10/20/2010
23918K-AL-2 NR /B2
TENET HEALTHCARE CORP
6.25% NOV 01 2018
DTD 11/21/2011
88033G-BP-4 B+ /BA3
P CDW LLC/CDW FINANCE
8% DEC 15 2018
DTD 06/15/2011
STEP CPN
12513G-AW-9 B+ /BA3
AVIS BUDEGET CAR RENTAL
8 1/4% JAN 15 2019
DTD 01/15/2011
053773-AN-7 B /B2
CSC HOLDINGS LLC
8 5/8% FEB 15 2019
DTD 02/12/2009
126307-AC-1 BB+ /BA3
115.00
10,000.00
11,500.00
11,425.00
75.00
862.50
325.83
5.49%
109.25
5,000.00
5,462.50
5,572.50
(110.00)
412.50
190.20
6.25%
109.20
EFTA01574313
3,000.00
3,276.00
3,356.25
(80.25)
240.00
10.66
6.00%
105.25
5,000.00
5,262.50
5,400.00
(137.50)
312.50
52.08
5.11%
104.38
10,000.00
10,437.50
10,200.00
237.50
637.50
106.25
5.42%
111.00
2,000.00
2,220.00
2,200.00
20.00
190.00
(30.08)
6.99%
107.50
10,000.00
10,750.00
11,040.00
(290.00)
775.00
163.61
6.07%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 10 of 30
EFTA01574314
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
HCA INC
8 1/2% APR 15 2019
DTD 04/15/2010
404119-BF-5 BB /BA3
SESI LLC
6 3/8% MAY 01 2019
DTD 11/01/2011
78412F-AL-8 NR /BA2
NOKIA CORP
5 3/8% MAY 15 2019
DTD 05/07/2009
654902-AB-1 BB- /BA3
FELCOR LODGING LP
6 3/4% JUN 01 2019
DTD 05/10/2011
31430Q-BB-2 B- /NR
ARCELORMITTAL
9.85% JUN 01 2019
DTD 05/20/2009
03938L-AM-6 BB+ /BA1
LIMITED BRANDS INC
8 1/2% JUN 15 2019
DTD 12/15/2009
532716-AR-8 BB+ /BA1
ENDO PHARMACEUT HLDGS IN
7% JUL 15 2019
DTD 06/08/2011
29264F-AG-1 BB- /B1
101.25
5,000.00
5,062.50
5,337.50
(275.00)
350.00
161.38
6.74%
118.60
6,000.00
7,115.88
6,922.50
193.38
591.00
49.24
116.25
20,000.00
23,250.00
23,000.00
EFTA01574315
250.00
1,700.00
75.54
6.06%
104.25
5,000.00
5,212.50
5,057.50
155.00
337.50
28.12
5.89%
98.44
5,000.00
4,921.85
4,912.50
9.35
268.75
34.34
5.69%
103.50
2,000.00
2,070.00
2,135.00
(65.00)
127.50
21.25
5.66%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
107.75
20,000.00
21,550.00
22,250.00
(700.00)
1,700.00
358.88
6.85%
5.28%
Page 11 of 30
EFTA01574316
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
REGAL CINEMAS CORP
8 5/8% JUL 15 2019
DTD 07/15/2009
758753-AD-9 B- /B2
DISH DBS CORP
7 7/8% SEP 01 2019
DTD 08/17/2009
25470X-AB-1 BB- /BA3
STARZ LLC/STARZ FIN CORP
5.000% 09/15/2019 DTD 02/13/2013
85571N-AB-5 NR /BA2
WEYERHAEUSER CO
7 3/8% OCT 01 2019
DTD 10/01/2009
962166-BV-5 BBB /BAA
UNITED RENTALS NORTH AM
9 1/4% DEC 15 2019
DTD 11/17/2009
911365-AU-8 B+ /B3
ZAYO GROUP LLC/ZAYO CAP
8.125% JAN 01 2020
DTD 08/17/2012
989194-AG-0 B /B1
PIONEER NATURAL RESOURCE
7 1/2% JAN 15 2020
DTD 11/30/2009
723787-AJ-6 NR /BAA
122.65
20,000.00
24,530.60
22,800.00
1,730.60
1,500.00
691.66
3.58%
108.50
4,000.00
4,340.00
4,500.00
(160.00)
325.00
162.50
6.50%
110.25
15,000.00
16,537.50
16,687.50
EFTA01574317
(150.00)
1,387.50
61.66
7.23%
99.50
118.27
10,000.00
10,000.00
9,950.00
11,827.10
10,305.00
11,509.70
(355.00)
317.40
500.00
147.22
737.50
184.37
5.09%
4.04%
112.00
15,000.00
16,800.00
16,462.50
337.50
1,181.25
393.75
5.55%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
107.25
5,000.00
5,362.50
5,640.00
(277.50)
431.25
198.85
7.13%
Page 12 of 30
EFTA01574318
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
NEWFIELD EXPLORATION CO
6 7/8% FEB 01 2020
DTD 01/25/2010
651290-AN-8 NR /BA2
LEAR CORP
8 1/8% MAR 15 2020
DTD 03/26/2010
521865-AS-4 BB /BA2
CB STEEL DYNAMICS INC
7.625% MAR 15 2020
DTD 03/17/2010
858119-AR-1 BB+ /BA2
BOISE PAPER HDG CO ISSR
8% APR 01 2020
DTD 03/19/2010
09747G-AB-9 BB /BA3
CONSOL ENERGY INC
8 1/4% APR 01 2020
DTD 10/01/2010
20854P-AF-6 BB /B1
US STEEL CORP
SR NOTES 7 3/8% APR 01 2020
DTD 03/19/2010
912909-AF-5 BB- /B1
AIRCASTLE LTD
7.625% APR 15 2020
DTD 06/06/2012
00928Q-AG-6 BB+ /BA3
110.50
2,000.00
2,210.00
2,185.00
25.00
152.50
32.19
5.73%
98.14
2,000.00
1,962.82
2,087.50
(124.68)
147.50
36.87
7.73%
105.50
15,000.00
15,825.00
EFTA01574319
16,556.25
(731.25)
1,237.50
309.37
7.20%
106.50
10,000.00
10,650.00
10,862.50
(212.50)
800.00
200.00
6.78%
106.50
5,000.00
5,324.75
5,568.75
(244.00)
381.25
112.25
6.42%
109.00
8,000.00
8,720.00
8,756.00
(36.00)
650.00
191.38
6.45%
103.00
20,000.00
20,600.00
21,450.00
(850.00)
1,375.00
572.90
6.31%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 13 of 30
EFTA01574320
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
CF INDUSTRIES INC
7 1/8% MAY 01 2020
DTD 04/23/2010
12527G-AB-9 NR /BAA
SEAGATE HDD CAYMAN
6 7/8% MAY 01 2020
DTD 05/01/2011
81180W-AD-3 BB+ /BA1
OMNICARE INC
7 3/4% JUN 01 2020
DTD 05/18/2010
681904-AM-0 BB /BA3
HOLOGIC INC
6.250% 08/01/2020 DTD 03/22/2013
436440-AF-8 BB /B2
RANGE RESOURCES CORP
6 3/4% AUG 01 2020
DTD 08/12/2010
75281A-AL-3 BB /BA3
WYNN LAS VEGAS LLC CORP
7 3/4% AUG 15 2020
DTD 08/04/2010
983130-AR-6 BBB /BA2
NRG ENERGY INC
8 1/4% SEP 01 2020
DTD 03/01/2011
629377-BJ-0 BB- /B1
111.04
10,000.00
11,104.00
10,950.00
154.00
775.00
292.77
108.50
15,000.00
16,275.00
15,637.50
637.50
1,237.50
412.50
5.83%
107.50
9,000.00
9,675.00
9,720.00
(45.00)
EFTA01574321
104.00
5,000.00
5,200.00
5,470.00
(270.00)
312.50
85.93
607.50
253.12
5.56%
5.46%
106.00
5,000.00
5,300.00
5,450.00
(150.00)
343.75
57.29
109.63
15,000.00
16,443.75
16,320.00
123.75
1,162.50
96.87
5.80%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
121.00
10,000.00
12,100.00
11,675.00
425.00
712.50
118.75
3.63%
6.03%
6.73%
Page 14 of 30
EFTA01574322
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
ALLIANT TECHSYSTEMS INC
6 7/8% SEP 15 2020
DTD 09/13/2010
018804-AP-9 BB- /BA3
BALL CORP
SR NOTES 6 3/4% SEP 15 2020
DTD 03/22/2010
058498-AP-1 BB+ /BA1
BE AEROSPACE INC
SR NOTES 6 7/8% OCT 01 2020
DTD 09/16/2010
055381-AR-8 BB /BA2
ENERGY TRANSFER EQUITY
7 1/2% OCT 15 2020
DTD 09/20/2010
29273V-AC-4 BB /BA2
MARKWEST ENERGY PART FIN
6 3/4% NOV 01 2020
DTD 11/02/2010
570506-AM-7 BB /BA3
COVANTA HOLDING CORP
SR NOTES 7 1/4% DEC 01 2020
DTD 12/01/2010
22282E-AD-4 B /BA3
INTL LEASE FINANCE CORP
8 1/4% DEC 15 2020
DTD 12/07/2010
459745-GF-6 BBB /BA3
112.50
15,000.00
16,875.00
16,540.00
335.00
1,237.50
54.99
6.13%
105.00
3,000.00
3,150.00
3,255.00
(105.00)
217.50
18.12
6.39%
105.50
5,000.00
5,275.00
EFTA01574323
5,600.00
(325.00)
337.50
56.25
5.82%
109.50
20,000.00
21,900.00
21,450.00
450.00
1,500.00
316.66
5.88%
108.00
15,000.00
16,200.00
16,012.50
187.50
107.25
15,000.00
16,087.50
16,050.00
37.50
1,012.50
298.12
1,031.25
257.80
5.52%
105.78
5,000.00
5,289.00
5,545.50
(256.50)
343.75
101.21
5.88%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
5.52%
Page 15 of 30
EFTA01574324
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
CROWN AMER/CAP CORP III
6 1/4% FEB 01 2021
DTD 08/01/2011
22818V-AB-3 BB /BA2
KEY ENERGY SERVICES INC
6 3/4% MAR 01 2021
DTD 03/04/2011
492914-AS-5 BB- /B1
GRAPHIC PACKAGING INTL
4.750% 04/15/2021 DTD 04/02/2013
38869P-AK-0 BB+ /BA3
DELPHI CORP
6.125% MAY 15 2021
DTD 05/07/2012
24713E-AF-4 BB+ /BA1
AMERIGAS PART FIN CORP
SR NOTES 6 1/2% MAY 20 2021
DTD 01/20/2011
030981-AF-1 NR /BA3
AMKOR TECHNOLOGIES INC
6 5/8% JUN 01 2021
DTD 05/20/2011
031652-BE-9 BB /B2
AMC NETWORKS INC
7.75% JUL 15 2021
DTD 07/09/2012
00164V-AB-9 NR /B1
109.50
10,000.00
10,950.00
11,490.00
(540.00)
775.00
357.36
6.23%
98.24
5,000.00
4,912.00
4,925.00
(13.00)
331.25
27.60
6.92%
101.50
7,000.00
7,105.00
7,157.50
EFTA01574325
(52.50)
455.00
51.81
6.25%
109.25
5,000.00
5,462.50
5,545.00
(82.50)
97.19
5,000.00
4,859.40
4,987.50
(128.10)
237.50
58.71
306.25
39.13
5.19%
4.70%
96.00
5,000.00
4,800.00
5,127.50
(327.50)
337.50
112.50
7.44%
105.75
15,000.00
15,862.50
16,262.50
(400.00)
937.50
390.61
5.32%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 16 of 30
EFTA01574326
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
IRON MOUNTAIN INC
8 3/8% AUG 15 2021
DTD 08/10/2009
46284P-AM-6 B+ /B1
MGM RESORTS INTL
6.625% 12/15/2021 DTD 12/20/2012
552953-CA-7 B+ /B3
SESI LLC
7.125% DEC 15 2021
DTD 06/15/2012
78412F-AP-9 BBB /BA2
CCO HLDGS LLC/CAP CORP
6 5/8% JAN 26 2012
DTD 01/31/2022
1248EP-AX-1 BB- /B1
LAMAR MEDIA CORP
5.875% FEB 01 2022
DTD 07/27/2012
513075-BB-6 BB- /B1
ARCELORMITTAL
6 1/4% FEB 25 2022
DTD 02/28/2012
03938L-AX-2 BB+ /BA1
SALLY HOLDINGS/SALLY CAP
5.75% JUN 01 2022
DTD 05/18/2012
79546V-AJ-5 BB+ /BA3
101.75
5,000.00
5,087.50
5,295.00
(207.50)
287.50
23.95
5.50%
101.62
9,000.00
9,146.16
9,007.50
138.66
562.50
196.87
6.01%
101.96
10,000.00
10,196.00
11,072.50
EFTA01574327
(876.50)
587.50
244.79
5.58%
104.50
6,000.00
6,270.00
5,970.00
300.00
397.50
166.72
5.95%
108.00
3,000.00
3,240.00
3,322.50
(82.50)
103.19
15,000.00
15,478.05
15,582.50
(104.45)
993.75
44.16
213.75
9.49
6.14%
5.91%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
106.75
15,000.00
16,012.50
15,900.00
112.50
1,256.25
474.57
7.26%
Page 17 of 30
EFTA01574328
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
CHESAPEAKE MIDSTREAM PT
6.125% JUL 15 2022
DTD 01/11/2012
16524R-AE-3 BB- /BA3
CONTINENTAL RESOURCES
5% SEP 15 2022
DTD 08/14/2012
212015-AH-4 BB+ /BA2
COVANTA HOLDING CORP
6 3/8% OCT 01 2022
DTD 03/19/2012
22282E-AE-2 B /BA3
QEP RESOURCES INC
5 3/8% OCT 01 2022
DTD 03/01/2012
74733V-AB-6 BB+ /BA1
CELANESE US HOLDINGS LLC
4.625% 11/15/2022 DTD 11/13/2012
15089Q-AD-6 BB+ /BA2
JARDEN CORP
6 1/8% NOV 15 2022
DTD 11/09/2010
471109-AE-8 BB- /BA3
PVH CORP
4.500% 12/15/2022 DTD 12/20/2012
693656-AA-8 BB /BA3
ROYAL BK SCOTLND GRP PLC
6.125% 12/15/2022 DTD 12/04/2012
780099-CE-5 BB+ /BA2
95.83
5,000.00
4,791.50
5,340.10
(548.60)
96.00
5,000.00
4,800.00
5,005.00
(205.00)
225.00
10.00
306.25
13.61
5.04%
6.73%
102.27
104.75
EFTA01574329
5,000.00
1,000.00
5,113.50
1,047.50
5,105.00
1,072.50
8.50
(25.00)
231.25
29.54
61.25
7.82
4.33%
5.47%
98.25
20,000.00
19,650.00
19,861.25
(211.25)
1,075.00
268.74
5.62%
100.03
7,000.00
7,002.10
7,210.00
(207.90)
446.25
111.55
6.37%
101.75
5,000.00
5,087.50
5,073.75
13.75
250.00
73.61
4.76%
102.00
4,000.00
4,080.00
3,930.00
150.00
245.00
112.97
5.84%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
EFTA01574330
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Page 18 of 30
EFTA01574331
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Price
US Fixed Income
GMAC
8% NOV 01 2031
DTD 12/31/2008
36186C-BY-8 B+ /B1
AMERICAN INTL GROUP
8.175% MAY 15 2058
DTD 05/15/2009
026874-BS-5 BBB /BAA
Total US Fixed Income
122.46
15,000.00
18,369.45
16,428.75
1,940.70
1,226.25
156.67
$1,014,041 36
$1,005,411 96
$8,629.40
$67,880.75
$16,120.52
6.61%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
120.91
20,000.00
24,182.80
21,912.50
2,270.30
1,600.00
266.66
6.09%
5.54%
Page 19 of 30
EFTA01574332
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Portfolio Activity Summary
Beginning Cash Balance
Transactions
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Fees & Commissions
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
63,963.55
(36,998.75)
$26,964.80
$73,737.48
* 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
149,267.88
(161,228.10)
($11,960.22)
-Current
Period
Value
38,629.35
8,143.33
$8,143.33
Year-To-Date
Value*
-35,322.35
$35,322.35
(8,414.34)
($8,414.34)
Current
Cost
Adjustments
Cost Adjustments
Total Cost Adjustments
Period Value
2,120.00
$2,120.00
Year-To-Date
Value*
2,120.00
EFTA01574333
52,120.00
Page 20 of 30
EFTA01574334
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
Income
6/3
6/3
6/3
6/3
6/3
6/3
6/3
6/3
6/3
6/7
Corporate Interest
Foreign Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Interest Income
Accrued Int Recd
Description
AMKOR TECHNOLOGIES INC 6 5/8% JUN 01 2021 DTD
05/20/2011 (ID: 031652-BE-9)
ARCELORMITTAL 9.85% JUN 01 2019 DTD 05/20/2009
(ID: 03938L-AM-6)
COVANTA HOLDING CORP SR NOTES 7 1/4% DEC 01
2020 DTD 12/01/2010 (ID: 22282E-AD-4)
FELCOR LODGING LP 6 3/4% JUN 01 2019 DTD
05/10/2011 (ID: 31430Q-BB-2)
LENNAR CORPORATION 5.6% MAY 31 2015 DTD
4/28/2005 (ID: 526057-AS-3)
OMNICARE INC 7 3/4% JUN 01 2020 DTD 05/18/2010
(ID: 681904-AM-0)
SALLY HOLDINGS/SALLY CAP 5.75% JUN 01 2022 DTD
05/18/2012 (ID: 79546V-AJ-5)
SPRINT NEXTEL CORP 6% DEC 1 2016 DTD 11/20/2006
(ID: 852061-AD-2)
DEPOSIT SWEEP INTEREST FOR 05/01/13 - 05/31/13
@ .01% RATE ON AVG COLLECTED BALANCE OF
$38,658.85 AS OF 06/01/13
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
1,000.000
EFTA01574335
0.029
29.18
Quantity
Cost
5,000.000
6,000.000
3,000.000
5,000.000
10,000.000
15,000.000
5,000.000
20,000.000
Per Unit
Amount
0.033
0.052
0.036
0.034
0.028
0.039
0.029
0.03
Amount
165.63
310.50
108.75
168.75
280.00
581.25
143.75
600.00
0.33
Page 21 of 30
EFTA01574336
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Type
Settle Date Selection Method
Income
6/7
6/10
6/10
6/10
6/10
6/10
6/10
6/10
6/10
Accrued Int Recd
Accrued Int Paid
Accrued Int Recd
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Accrued Int Paid
Accrued Int Recd
Accrued Int Paid
Description
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.375 CITIGROUP GLOBAL MARKETS
INC/SALOM TRADE DATE 06/05/13 (ID: 212015-AH-4)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.50 GOLDMAN SACHS & CO. TRADE
DATE 06/05/13 (ID: 212015-AH-4)
JARDEN CORP SR SUB NOTES 7 1/2% MAY 1 2017 DTD
2/13/2007 @ 113.00 CITIGROUP GLOBAL MARKETS
INC/SALOM TRADE DATE 06/05/13 (ID: 471109-AB-4)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.50 MORGAN STANLEY & CO. LLC
TRADE DATE 06/05/13 (ID: 212015-AH-4)
SESI LLC 7.125% DEC 15 2021 DTD 06/15/2012 @
110.75 CITIGROUP GLOBAL MARKETS INC/SALOM TRADE
DATE 06/05/13 (ID: 78412F-AP-9)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
GRAPHIC PACKAGING INTL 4.750% 04/15/2021 DTD
04/02/2013 @ 99.75 MLPFS INC/FIXED INCOME TRADE
DATE 06/05/13 (ID: 38869P-AK-0)
EFTA01574337
5,000.000
0.00
0.009
(44.86)
4,000.000
0.00
2,000.000
0.00
3,000.000
0.00
2,000.000
0.008
0.012
0.035
0.03
(32.50)
(23.61)
(103.91)
59.60
2,000.000
0.00
0.012
(23.61)
1,000.000
0.00
1,000.000
0.012
0.03
(11.81)
29.80
Quantity
Cost
2,000.000
Per Unit
Amount
0.029
Amount
58.36
Page 22 of 30
EFTA01574338
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Type
Settle Date Selection Method
Income
6/10
6/11
6/11
6/11
6/12
Accrued Int Paid
Accrued Int Paid
Accrued Int Recd
Accrued Int Recd
Corporate Interest
Description
JARDEN CORP 6 1/8% NOV 15 2022 DTD 11/09/2010 @
107.25 CITIGROUP GLOBAL MARKETS INC/SALOM TRADE
DATE 06/06/13 (ID: 471109-AE-8)
SESI LLC 6 3/8% MAY 01 2019 DTD 11/01/2011 @
106.75 CITIGROUP GLOBAL MARKETS INC/SALOM TRADE
DATE 06/06/13 (ID: 78412F-AL-8)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99
(ID: 345370-CA-6)
INGLES MARKETS INC NON-TRADEABLE ASSET CORP
ACTIONS CONTRA 8.875% 05/15/2017 DTD 07/07/2009
ACCRUED INTEREST @ $6.65625 PER 1,000 P.A.
(ID: 45799A-JO-1)
6/14
Foreign Interest
SEAGATE TECHNOLOGY HDD H NON - TRADEABLE ASSET
CORP ACTIONS CONTRA SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006 HOLDERS RECEIVE $1132.50 IN
TENDER PROCEEDS PLUS $13.788889 IN ACCRUED
INTEREST PLUS $30.00 EARLY TENDER PAYMENT PER
1000 PRINCIPAL AMOUNT ELECTED TO TENDER OF
SEAGATE CUSIP 81180RAE2 AFTER PRORATION RATE OF
0.868 (ID: 81199A-CD-8)
6/17
6/17
6/17
Corporate Interest
Corporate Interest
Corporate Interest
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN (ID: 12513G-AW-9)
CINEMARK USA INC 8 5/8% JUN 15 2019 DTD
EFTA01574339
12/15/2009 (ID: 172441-AS-6)
HANESBRANDS INC 896 DEC 15 2016 DTD 12/10/2009
(ID: 410345-AF-9)
5,000.000
10,000.000
5,000.000
0.04
0.043
0.04
200.00
431.25
200.00
Page 23 of 30
8,000.000
0.014
110.31
10,000.000
0.007
66.56
2,000.000
0.03
60.01
2,000.000
0.00
2,000.000
0.007
0.03
(14.17)
60.01
Quantity
Cost
1,000.000
0.00
Per Unit
Amount
0.004
Amount
(4.25)
EFTA01574340
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Type
Settle Date Selection Method
Income
6/17
6/17
6/17
6/17
6/17
6/17
6/17
6/17
6/17
6/18
6/24
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Corporate Interest
Foreign Interest
Corporate Interest
Corporate Interest
Corporate Interest
Accrued Int Paid
Corporate Interest
Description
INTL LEASE FINANCE CORP 8 1/4% DEC 15 2020 DTD
12/07/2010 (ID: 459745-GF-6)
LIMITED BRANDS INC 8 1/2% JUN 15 2019 DTD
12/15/2009 (ID: 532716-AR-8)
MGM RESORTS INTL 6.625% 12/15/2021 DTD
12/20/2012 (ID: 552953-CA-7)
PVH CORP 4.500% 12/15/2022 DTD 12/20/2012
(ID: 693656-AA-8)
RRI ENERGY INC 7 7/8% JUN 15 2017 DTD
06/13/2007 (ID: 74971X-AC-1)
ROYAL BK SCOTLND GRP PLC 6.125% 12/15/2022 DTD
12/04/2012 (ID: 780099-CE-5)
SESI LLC 7.125% DEC 15 2021 DTD 06/15/2012
(ID: 78412F-AP-9)
SERVICE CORP INTL 7% JUN 15 2017 DTD 06/15/2006
MULTI CPN (ID: 817565-BF-0)
UNITED RENTALS NORTH AM 9 1/4% DEC 15 2019 DTD
11/17/2009 (ID: 911365-AU-8)
VULCAN MATERIALS 6 1/2% DEC 01 2016 DTD
06/14/2011 @ 109.75 FIRST UNION CAPITAL MARKETS
TRADE DATE 06/13/13 (ID: 929160-AQ-2)
CINEMARK USA INC 8 5/8% JUN 15 2019 DTD
12/15/2009 (ID: 172441-AS-6)
EFTA01574341
Quantity
Cost
15,000.000
20,000.000
15,000.000
5,000.000
15,000.000
5,000.000
3,000.000
20,000.000
15,000.000
10,000.000
0.00
10,000.000
Per Unit
Amount
0.041
0.043
0.032
0.022
0.039
0.033
0.036
0.035
0.046
0.003
0.002
Amount
618.75
850.00
483.07
109.38
590.63
162.48
106.88
700.00
693.75
(30.69)
21.56
Page 24 of 30
EFTA01574342
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Type
Settle Date Selection Method
Income
6/24
Corporate Interest
Description
RITE AID CORP NON-TRADEABLE ASSET CORP ACTIONS
CONTRA 7.500% 03/01/2017 DTD 02/15/2007 HOLDERS
RECEIVE $999.50 PRINCIPAL PLUS $30.00 CONSENT
FEE PLUS ACCRUED INTEREST AT A RATE OF
22.916667 FOR EVERY 1,000 PRINCIPAL AMOUNT
TENDERED OF CUSIP 767754BL7. (ID: 76799A-CJ-9)
6/25
Accrued Int Paid
Total Income
Type
Settle Date Selection Method
Miscellaneous Credits
6/7
6/7
6/10
6/10
Name Change
Name Change
Name Change
Name Change
Description
INGLES MARKETS INC 8 7/8% MAY 15 2017 DTD
05/12/2009 TO REDESCRIPTION (ID: 457030-AG-9)
INGLES MARKETS INC NON-TRADEABLE ASSET CORP
ACTIONS CONTRA 8.875% 05/15/2017 DTD 07/07/2009
FROM REDESCRIPTION (ID: 45799A-JQ-1)
REGAL CINEMAS CORP 8 5/8% JUL 15 2019 DTD
07/15/2009 TO CORPORATE ACTION CONTRA
(ID: 758753-AD-9)
REGAL CINEMAS CORP NON-TRADEABLE ASSET CORP
ACTIONS CONTRA 8 5/8% JUL 15 2019 DTD
07/15/2009 FROM CORPORATE ACTION CONTRA
(ID: 75899A-EU-3)
Quantity
Cost
(10,000.000)
(10,775.00)
10,000.000
10,775.00
(5,000.000)
(5,640.00)
5,000.000
5,640.00
EFTA01574343
NOKIA CORP 5 3/8% MAY 15 2019 DTD 05/07/2009 @
98.25 GOLDMAN SACHS & CO. TRADE DATE 06/17/13
(ID: 654902-AB-1)
$8,143.33
5,000.000
0.00
0.005
(26.13)
Quantity
Cost
20,000.000
Per Unit
Amount
0.023
Amount
458.33
Amount
Page 25 of 30
EFTA01574344
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Type
Settle Date Selection Method
Miscellaneous Credits
6/14
Name Change
Description
REGAL CINEMAS CORP NON-TRADEABLE ASSET CORP
ACTIONS CONTRA 8 5/8% JUL 15 2019 DTD
07/15/2009 TO CORPORATE ACTION CONTRA
(ID: 75899A-EU-3)
6/14
6/14
6/14
6/21
Name Change
Name Change
Name Change
Name Change
REGAL CINEMAS CORP 8 5/8% JUL 15 2019 DTD
07/15/2009 FROM CORPORATE ACTION CONTRA
(ID: 758753-AD-9)
RITE AID CORP 7 1/2% MAR 01 2017 DTD 02/21/2007
TO CORPORATE ACTION CONTRA (ID: 767754-BL-7)
RITE AID CORP NON-TRADEABLE ASSET CORP ACTIONS
CONTRA 7.500% 03/01/2017 DTD 02/15/2007 FROM
CORPORATE ACTION CONTRA (ID: 76799A-CJ -9)
SEAGATE TECHNOLOGY HDD H NON - TRADEABLE ASSET
CORP ACTIONS CONTRA SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006 TO CORPORATE ACTION CONTRA
(ID: 81199A-CD-8)
6/21
Name Change
Total Miscellaneous Credits
SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1
2016 DTD 9/20/2006 FROM CORPORATE ACTION CONTRA
(ID: 81180R-AE-2)
$0.00
2,000.000
0.00
(2,000.000)
(2,120.00)
(20,000.000)
(20,150.00)
20,000.000
20,150.00
5,000.000
5,640.00
Quantity
Cost
EFTA01574345
(5,000.000)
(5,640.00)
Amount
Page 26 of 30
EFTA01574346
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
TRADE ACTIVITY
Note:
Trade Date
Settle Date
6/4
6/7
6/4
6/7
6/5
6/10
6/5
6/10
6/6
6/11
6/6
6/11
6/12
6/12
L indicates Long Term Realized Gain/Loss
Type
S indicates Short Term Realized Gain/Loss
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
Sale
High Cost
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 124.675
CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 125.082
MLPFS INC/FIXED INCOME (ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 122.61
UBS SECURITIES LLC (ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 123.03
EFTA01574347
MLPFS INC/FIXED INCOME (ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 123.058
CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 345370-CA-6)
FORD MOTOR COMPANY GLOBAL LANDMARK SECURITIES
NOTES 7.45% JUL 16 2031 DTD 7/16/99 @ 124.00
CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 345370-CA-6)
INGLES MARKETS INC NON-TRADEABLE ASSET CORP
ACTIONS CONTRA 8.875% 05/15/2017 DTD 07/07/2009
TENDERED @ $1,029.38 PER 1,000 P.A. PLUS A
CONSENT FEE OF $20 PER 1,000 P.A.
(ID: 45799A-JQ-1)
(10,000.000)
104.938
10,493.80
(10,775.00)
(281.20) L
(2,000.000)
124.00
2,480.00
(2,295.00)
185.00 L
(2,000.000)
123.058
2,461.16
(2,295.00)
166.16 L
(2,000.000)
123.03
2,460.60
(2,295.00)
165.60 L
(1,000.000)
122.61
1,226.10
(1,147.50)
78.60 L
(2,000.000)
125.082
2,501.64
(2,295.00)
206.64 L
Quantity
(1,000.000)
Per Unit
Amount
124.675
Proceeds
1,246.75
EFTA01574348
Tax Cost
(1,147.50)
Realized
Gain/Loss
99.25 L
Page 27 of 30
EFTA01574349
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Trade Date
Settle Date
6/14
6/14
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
High Cost
SEAGATE TECHNOLOGY HDD H NON - TRADEABLE ASSET
CORP ACTIONS CONTRA SR NOTES 6.80% OCT 1 2016
DTD 9/20/2006 HOLDERS RECEIVE $1132.50 IN
TENDER PROCEEDS PLUS $13.788889 IN ACCRUED
INTEREST PLUS $30.00 EARLY TENDER PAYMENT PER
1000 PRINCIPAL AMOUNT ELECTED TO TENDER OF
SEAGATE CUSIP 81180RAE2 AFTER PRORATION RATE OF
0.868 (ID: 81199A-CD-8)
6/24
6/24
6/24
6/24
Redemption
Pro Rata
Sale
High Cost
CINEMARK USA INC 8 5/8% JUN 15 2019 DTD
12/15/2009 ENTIRE ISSUE CALLED @ 112.035
(ID: 172441-AS-6)
RITE AID CORP NON-TRADEABLE ASSET CORP ACTIONS
CONTRA 7.500% 03/01/2017 DTD 02/15/2007 HOLDERS
RECEIVE $999.50 PRINCIPAL PLUS $30.00 CONSENT
FEE PLUS ACCRUED INTEREST AT A RATE OF
22.916667 FOR EVERY 1,000 PRINCIPAL AMOUNT
TENDERED OF CUSIP 767754BL7. (ID: 76799A-CJ-9)
Total Settled Sales/Maturities/Redemptions
$63,963.55
($62,085.00)
$1,878.55 L
(20,000.000)
102.95
20,590.00
(20,150.00)
440.00 L
(10,000.000)
112.035
11,203.50
(11,205.00)
(1.50) L
Quantity
EFTA01574350
(8,000.000)
Per Unit
Amount
116.25
Proceeds
9,300.00
Tax Cost
(8,480.00)
Realized
Gain/Loss
820.00 L
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
6/5
Purchase
6/10
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.375 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 212015-AH-4)
Quantity
1,000.000
Per Unit
Amount
101.375
Market Cost
(1,013.75)
Page 28 of 30
EFTA01574351
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Trade Date
Settle Date
Type
Settled Securities Purchased
6/5
Purchase
6/10
6/5
6/10
6/5
6/10
6/5
6/10
6/5
6/10
6/6
6/10
6/6
6/11
6/13
6/18
6/17
6/25
Purchase
Purchase
Total Settled Securities Purchased
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Description
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.50 GOLDMAN SACHS & CO.
(ID: 212015-AH-4)
JARDEN CORP SR SUB NOTES 7 1/2% MAY 1 2017 DTD
2/13/2007 @ 113.00 CITIGROUP GLOBAL MARKETS
INC/SALOM (ID: 471109-AB-4)
CONTINENTAL RESOURCES 5% SEP 15 2022 DTD
08/14/2012 @ 101.50 MORGAN STANLEY & CO. LLC
(ID: 212015-AH-4)
SESI LLC 7.125% DEC 15 2021 DTD 06/15/2012 @
110.75 CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 78412F-AP-9)
GRAPHIC PACKAGING INTL 4.750% 04/15/2021 DTD
04/02/2013 @ 99.75 MLPFS INC/FIXED INCOME
(ID: 38869P-AK-0)
JARDEN CORP 6 1/8% NOV 15 2022 DTD 11/09/2010 @
EFTA01574352
107.25 CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 471109-AE-8)
SESI LLC 6 3/8% MAY 01 2019 DTD 11/01/2011 @
106.75 CITIGROUP GLOBAL MARKETS INC/SALOM
(ID: 78412F-AL-8)
VULCAN MATERIALS 6 1/2% DEC 01 2016 DTD
06/14/2011 @ 109.75 FIRST UNION CAPITAL MARKETS
(ID: 929160-AQ-2)
NOKIA CORP 5 3/8% MAY 15 2019 DTD 05/07/2009 @
98.25 GOLDMAN SACHS & CO. (ID: 654902-AB-1)
5,000.000
98.25
(4,912.50)
($36,998.75)
10,000.000
109.75
(10,975.00)
2,000.000
106.75
(2,135.00)
1,000.000
107.25
(1,072.50)
5,000.000
99.75
(4,987.50)
3,000.000
110.75
(3,322.50)
2,000.000
101.50
(2,030.00)
4,000.000
113.00
(4,520.00)
Quantity
2,000.000
Per Unit
Amount
101.50
Market Cost
(2,030.00)
Page 29 of 30
EFTA01574353
GHISLAINE MAXWELL-HY ACCT.
For the Period 6/1/13 to 6/30/13
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
7/2
Redemption
7/2
CDW LLC/CDW FINANCE 8% DEC 15 2018 DTD
06/15/2011 STEP CPN (ID: 12513G-AW-9)
Quantity
(2,000.000)
Per Unit
Amount
108.00
Proceeds
2,160.00
Tax Cost
(2,237.50)
Realized
Gain/Loss
(77.50) S
Trade Date
Est. Settle Date Type
Pending Securities Purchased
6/24
Purchase
6/27
Description
DINEEQUITY INC 9 1/2% OCT 30 2018 DTD
04/30/2011 (ID: 254423-AB-2)
COST ADJUSTMENTS
Settle Date
Type
Cost Adjustments
6/26
Cost Basis Adj
Description
SEAGATE TECHNOLOGY HDD H SR NOTES 6.80% OCT 1
2016 DTD 9/20/2006 CORPORATE ACTIONS
ADJUSTMENTS (ID: 81180R-AE-2)
Quantity
2,000.000
Cost Basis
Adjustments
2,120.00
Quantity
2,000.000
Per Unit
Amount
EFTA01574354
110.00
Market Cost
(2,200.00)
Page 30 of 30
EFTA01574355
For the Period 6/1/13 to 6/30/13
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
EFTA01574356
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 2
EFTA01574357
For the Period 6/1/13 to 6/30/13
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 INVESTMENT
MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A.
In case of other errors or questions about other account statement(s)
Please review your account statement(s) and promptly report any inaccuracy
or discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, unaccounted cash positions,
improper payments or transfers in writing to JPMCB at the addresses shown on
your statement(s). Any oral communication should be re-confirmed in writing
to further protect your rights. 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.
You must promptly advise your J.P.Morgan representative of material changes
in your investment objectives or financial situation or if you wish to
EFTA01574358
modify the management of your account. Unless you
inform otherwise, your J.P.Morgan representative will consider the
information currently in its files to be complete and accurate.
Disclosures Page 2 of 2
EFTA01574359
ℹ️ Document Details
SHA-256
cf7d5231d30b6c86ca7719b98ff8df8b6f42a1b45f8d88a6af89eb257fb51a2b
Bates Number
EFTA01574295
Dataset
DataSet-10
Document Type
document
Pages
65
Comments 0