📄 Extracted Text (5,496 words)
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
345 Park Avenue, New York, NY 10154-1002
ACCT.
For the Period 8/1/09 to 8/31/09
0000000045.00.0.01.RRRRR.MAXWE00.20091103
GHISLAINE MAXWELL
16 ISLAND AVE APT 7D
MIAMI BEACH FL 33139-1331
Asset Account
J.P. Morgan Private Bank Team
Mary Casey
Janet Young
William Doherty III
Banker
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Cash and Short Term
Fixed Income
Other Assets
Portfolio Activity
Online access
www.MorganOnline.com
Page
2
4
7
11
14
15
Page 1 of 34
EFTA01568221
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Account Summary
Asset Allocation
Equity
Cash & Short Term
Fixed Income
Other Assets
Market Value
Accruals
Market Value with Accruals
Beginning
Ending
Market Value
587,229.56
5,738,932.40
199,674.00
104,640.00
$6,630,475.96
4,443.32
$6,634,919.28
Market Value
609,150.93
336,371.25
452,948.00
15,498.00
$1,413,968 18
9,654.42
$1,423,622 60
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
($5,226,695.81)
(182.42)
10,370.45
$1,413,968.18
9,654.42
$1,423,622.60
(5,226,695.81)
Period Value
6,630,475.96
Change
EFTA01568222
In Value
21,921.37
(5,402,561.15)
253,274.00
(89,142.00)
($5,216,507.78)
5,211.10
($5,211,296.68)
Year-to-Date
Value
6,377,327.40
900,000.00
(5,689,556.48)
(349,610.00)
($5,139,166.48)
13,283.95
162,523.31
$1,413,968.18
9,654.42
$1,423,622.60
Estimated
94.40
Current
Annual Income Allocation
40%
15,997.43
11,937.50
13.80
29%
30%
1%
100%
Cash &
Short Term
Fixed
Income
Equity
Other
Assets
Asset Allocation
Page 2 of 34
EFTA01568223
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
(182.42)
($182.42)
CONTINUED
Current
Period Value
Year-to-Date
Value
1,919.85
6.55
(939.42)
6.65
$993.63
12,347.18
(56.86)
$12,290.32
Unrealized Gain/Loss
To-Date Value
($89,416.27)
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
(2,000.00)
($2,000.00)
Year-to-Date
Value
(12,793.03)
($12,793.03)
Page 3 of 34
EFTA01568224
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Equity Summary
Asset Categories
US Large Cap
US Mid Cap/Small Cap
Non US Equity
Total Value
Beginning
Market Value
277,645.25
8,022.89
301,561.42
$587,229.56
Ending
Market Value
303,186.00
8,243.12
297,721.81
$609,150.93
Change
In Value
25,540.75
220.23
(3,839.61)
$21,921.37
Current
Allocation
19%
1%
20%
40%
US Mid Cap/Small Cap
US Large Cap
Asset Categories
Equity
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Yield
Period Value
609,150.93
705,204.98
(96,054.05)
94.40
0.02%
Non US Equity
Page 4 of 34
EFTA01568225
EFTA01568226
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Equity Detail
Estimated
Quantity
US Large Cap
GOOGLE INC
CL A
38259P-50-8 GOOG
PROSHARES ULTRASHORT S&P 500
Total US Large Cap
74347R-88-3 SDS
$303,186.00
US Mid Cap/Small Cap
LIVEPERSON INC
VISTEON CORP
DEFAULT
92839U-10-7 VSTN
Total US Mid Cap/Small Cap
Non US Equity
BP PLC
HELD BY JPMORGAN CHASE BK LON
ISIN GB0007980591
SEDOL 0798059
G12793-91-8 GBP
Page 5 of 34
$8,243.12
$12,328.80
($4,085.68)
$0.00
0.00%
2,000.000
538146-10-1 LPSN
26.000
0.12
3.12
429.00
(425.88)
4.12
8,240.00
11,899.80
(3,659.80)
$357,510.20
($54,324.20)
$68.40
0.02%
600.000
43.64
26,184.00
29,777.50
(3,593.50)
EFTA01568227
68.40
0.26%
Price
Market
Value
Tax Cost
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
600.000
461.67
277,002 00
327,732 70
(50,730 70)
18.000
8.68
156.19
8/28/09
164.25
(8.06)
EFTA01568228
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Estimated
Quantity
Non US Equity
CURRENCY SHARES EURO TRUST
GLAXOSMITHKLINE PLC
23130C-10-8 FXE
1.000
HELD BY JPMORGAN CHASE BK LON
ISIN GB0009252882/SEDOL 0925288
G3910J-90-6 ZZZZ GBP
RESEARCH IN MOTION LIMITED
SPDR GOLD TRUST
Total Non US Equity
760975-10-2 RIMM
400.000
78463V-10-7 GLD
$297,721.81
$335,365.98
($37,644.17)
$26.00
0.01%
93.40
37,360.00
33,482.00
3,878.00
1,600.000
73.06
116,896.00
160,288.72
(43,392.72)
19.62
8/28/09
19.62
26.60
(6.98)
1,000.000
143.29
143,290.00
141,404.41
1,885.59
26.00
0.02%
Price
Market
Value
Tax Cost
Unrealized
Gain/Loss
Annual Income
EFTA01568229
Accrued
Dividends
Yield
Page 6 of 34
EFTA01568230
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Cash & Short Term Summary
Beginning
Asset Categories
Cash
Short Term
Total Value
Market Value
10.25
5,738,922.15
$5,738,932.40
Ending
Market Value
(99,602.93)
435,974.18
$336,371.25
Change
In Value
(99,613.18)
(5,302,947.97)
($5,402,561.15 )
29%
29%
Current
Allocation
Cash &
Short Term
Asset Categories
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Period Value
336,371.25
331,223.97
5,147.28
15,997.43
6,009.82
2.95%
Page 7 of 34
EFTA01568231
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Cash & Short Term Summary
SUMMARY BY MATURITY
Short Term
Less than 3 months
3-6 months
Total Value
SUMMARY BY TYPE
Short Term
International Bonds
Mutual Funds
Total Value
Market
Value
435,973.18
1.00
$435,974.18
% of Bond
Portfolio
99%
1%
100%
CONTINUED
Market
Value
166,900.33
269,073.85
$435,974.18
Page 8 of 34
EFTA01568232
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Note:
This is the Annual Percentage Yield (APY) which is the rate earned if
balances remain on deposit for a full year with compounding, there is no
change in the interest rate and all interest
is left in the account.
Cash & Short Term Detail
Quantity
Cash
COST OF PENDING PURCHASES
POUND STERLING
US DOLLAR
Total Cash
Short Term
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
4812A0-82-1
AUSTRALIAN GOVERNMENT - AUD
7 1/2% SEP 15 2009
DTD 09/15/1996
HELD BY EUROCLEAR ISIN:AU0000XCLWF9
SEDOL:6058638
Q08185-9C-8 NA /AAA AUD
75,000.00
84.45
63,338.94
61,779.46
1,559.48
4,742.15
2,190.62
3.12%
1.00
1.00
1.00
1.00
(100,000.00)
6.18
387.00
1.00
1.63
1.00
(100,000.00)
10.07
387.00
($99,602.93)
(100,000.00)
9.51
EFTA01568233
387.00
($99,603.49)
$0.56
(70.00)
0.56
0.27
0.22
($69.73)
$0.22
0.07%
0.00%
0.07%
1
1
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 9 of 34
EFTA01568234
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Quantity
Short Term
JP MORGAN CHASE BANK - NZD
LONDON TIME DEPOSITS 1.8500%
DATED 07/30/2009 MATURITY 09/30/2009
HELD BY LONDON TREASURY SERVICES
Bearer
60703L-9N-9 NZD
KFW - BRL
MEDIUM TERM NOTE 9 1/8% FEB 5 2010
DTD 10/05/2007
HELD BY EUROCLEAR ISIN:XS0323929546
SEDOL:B284W67
B11XZP-9B-7 AAA /AAA BRL
JP MORGAN CHASE BANK - AUD
LONDON TIME DEPOSITS 2.5000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60703R-9F-3 AUD
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.8000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Bearer
60703R-9T-3 NOK
Total Short Term
$435,974.18
$430,827.46
$5,146.72
$16,067.16
$6,009.60
2.97%
611,000.00
16.66
101,768.88
100,000.00
1,768.88
814.15
42.94
0.80%
119,047.61
84.30
100,363.07
100,000.00
363.07
2,509.07
132.37
2.50%
EFTA01568235
125,000.00
53.55
8/28/09
66,941.90
72,010.50
(5,068.60)
6,085.93
3,468.14
8.54%
151,017.73
68.57
103,560.39
97,036.50
6,523.89
1,915.86
175.53
1.85%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 10 of 34
EFTA01568236
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Fixed Income Summary
Asset Categories
US Fixed Income - Taxable
US Fixed Income - Non Taxable
Total Value
Beginning
Market Value
0.00
199,674.00
$199,674.00
Ending
Market Value
251,362.00
201,586.00
$452,948.00
Change
In Value
251,362.00
1,912.00
$253,274.00
Current
Allocation
17%
13%
30%
US Fixed Income
- Taxable
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Period Value
452,948.00
449,548.00
3,400.00
11,937.50
3,644.60
2.44%
US Fixed Income
- Non Taxable
Asset Categories
Fixed
Income
Page 11 of 34
EFTA01568237
EFTA01568238
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Fixed Income Summary
SUMMARY BY MATURITY
Fixed Income
Less than 5 years,
5-10 years,
Total Value
SUMMARY BY TYPE
Fixed Income
Corporate Bonds
Government and Agency Bonds
Municipal Bonds
Total Value
Market
Value
151,362.00
100,000.00
201,586.00
$452,948.00
% of Bond
Portfolio
33%
22%
45%
100%
Market
Value
251,362.00
201,586.00
$452,948.00
CONTINUED
% of Bond
Portfolio
55%
45%
100%
1
The years indicate the number of years until the bond is scheduled to mature
based on the
statement end date. Some bonds may be called, or paid in full, before their
stated maturity.
Page 12 of 34
EFTA01568239
GHISLAINE MAXWELL
Note:
P indicates position adjusted for Pending Trade Activity.
Fixed Income Detail
Quantity
US Fixed Income - Taxable
GOLDMAN SACHS GROUP INC
1 5/8% JUL 15 2011
DTD 01/21/2009
38146F-AF-8 AAA /AAA
P FEDERAL HOME LOAN BANK
1 1/2% DEC 14 2012
DTD 09/14/2009
STEP CPN
3133XU-NX-7 AAA /
Total US Fixed Income - Taxable
US Fixed Income - Non Taxable
CITY OF NEW YORK N Y
NYC PUBLIC IMPS UNLIMITED TAX
4% SUBSER L-1 APR 01 2019
DTD 4/23/2008 HELD BY DTC BOOK ENTRY
PAR CALL 04/01/2018 @ 100
64966G-3W-0 AA /AA3
$251,362.00
$250,780.00
$582.00
$3,937.50
$311.40
1.28%
100,000.000
100.00
100,000.00
100,000.00
1,500.00
1.50%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
ACCT.
For the Period 8/1/09 to 8/31/09
150,000.000
100.91
EFTA01568240
151,362.00
150,780.00
582.00
2,437.50
311.40
1.13%
200,000.000
100.79
201,586.00
198,768.00
2,818.00
8,000.00
3,333.20
3.90%
Page 13 of 34
EFTA01568241
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Other Assets Summary
Asset Categories
Structured Investments
Other
Other Assets Detail
Total Value
Beginning
Estimated Value
97,930.00
6,710.00
$104,640.00
Ending
Estimated Value
0.00
15,498.00
$15,498.00
Change
In Value
(97,930.00)
8,788.00
($89,142.00)
Current
Allocation
Other
Assets
1%
1%
Asset Categories
Quantity
Price
Other
PROSHARES ULTRSHORT QQQ
74347R-87-5 QID
600.000
25.83
15,498.00
17,407.50
(1,909.50)
Estimated
Value
Cost
Estimated
Gain/Loss
Page 14 of 34
EFTA01568242
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
0.39
Contributions
Total Inflows
OUTFLOWS
Withdrawals
Interest Purchased
Foreign Exchange - Outflows
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
5,675,658.23
(176,382.50)
$5,499,275.73
$387.00
* Year to date information is calculated on a calendar year basis.
6,362,763.37
(1,248,908.40)
$5,113,854.97
-$0.00
$0.00
$0.00
-$0.39
(5,226,695.81)
(182.81)
(272,010.50)
($5,498,889.12)
15,316.17
900,000.00
$915,316.17
(5,689,555.81)
(182.81)
(433,176.79)
($6,122,915.41)
$0.00
$0.00
$0.00
$0.00
Period
Value
EFTA01568243
0.00
Year-To-Date
Value*
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-Page
15 of 34
EFTA01568244
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - U S Dollar
Total Cost Adjustments
Current
Cost Adjustments
Amortization
Period Value
$0.00
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Settlement
Date
8/3
Type
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR JULY @
.07% RATE ON NET AVG COLLECTED
BALANCE OF $6,538.27
AS OF 08/01/09
8/11
Spot FX
SPOT CURRENCY TRANSACTION - BUY
BUY NOK SELL USD
EXCHANGE RATE 6.110000000
DEAL 08/07/09 VALUE 08/11/09
8/11
Spot FX
SPOT CURRENCY TRANSACTION - BUY
BUY AUD SELL USD
EXCHANGE RATE .840000000
DEAL 08/07/09 VALUE 08/11/09
8/12
Accrued Interest Paid
GOLDMAN SACHS GROUP INC
1 5/8% JUL 15 2011
DTD 01/21/2009
Page 16 of 34
150,000.000
0.001
(182.81)
119,047.610
(100,000.00)
611,000.000
(100,000.00)
Quantity
Per Unit
Amount
PRINCIPAL
EFTA01568245
Amount
0.39
INCOME
Amount
Year-To-Date
Value*
(56.86)
($56.86)
EFTA01568246
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
INFLOWS & OUTFLOWS
Settlement
Date
8/13
Type
Misc. Disbursement
Description
FUNDS TRANSFERRED FROM
PRN A/C#
MMIA A/C#
AS REQUESTED
8/20
Spot FX
LINKED CURRENCY TRANSACTION - BUY
BUY BRL SELL USD
EXCHANGE RATE 1.833900000
DEAL 08/12/09 VALUE 08/17/09
Total Inflows & Outflows
TRADE ACTIVITY
Note:
Trade
Date
8/10
Settlement
Date
8/10
($5,498,888.73)
132,060.060
(72,010.50)
TO
00000000002916490721
Quantity
Per Unit
Amount
PRINCIPAL
Amount
(5,226,695.81)
INCOME
Amount
S indicates Short Term Realized Gain/Loss
Type
Settled Sales/Maturities/Redemptions
Sale
Description
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
@ 1.00
EFTA01568247
TRADE DATE 08/10/09
8/12
8/12
Sale
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
@ 1.00
TRADE DATE 08/12/09
Page 17 of 34
(150,962.810)
1.00
150,962.81
(150,962.81)
Quantity
(150,962.420)
Per Unit
Amount
1.00
Proceeds
150,962.42
Tax Cost
(150,962.42)
Realized
Gain/Loss
EFTA01568248
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Trade
Date
8/13
Settlement
Date
8/13
Type
Settled Sales/Maturities/Redemptions
Sale
Description
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
@ 1.00
TRADE DATE 08/13/09
8/13
8/13
Sale
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
RESERVE SHARE CLASS
FUND 24
@ 1.00
TRADE DATE 08/13/09
8/19
8/19
Redemption
DUAL DIRECTIONAL KNOCK-OUT NOTE
LINKED TO THE S&P 500 INDEX
8/19/09 JPMORGAN CHASE (1XLEV-98%
PRIN PROTECTION +/-19.65% BARRIER)
INITIAL LEVEL-SPX:8/22/08: 1292.20
TO REDEMPTION
Total Settled Sales/Maturities/Redemptions
$5,675,658.23
($5,677,658.23)
($2,000.00) S
(100,000.000)
98.00
98,000.00
(100,000.00)
(2,000.00) S
(49,037.190)
1.00
49,037.19
(49,037.19)
Quantity
(5,226,695.810 )
EFTA01568249
Per Unit
Amount
1.00
Proceeds
5,226,695.81
Tax Cost
(5,226,695.81)
Realized
Gain/Loss
Page 18 of 34
EFTA01568250
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Trade
Date
Settlement
Date
8/12
Type
Settled Securities Purchased
8/7
Purchase
Description
GOLDMAN SACHS GROUP INC
1 5/8% JUL 15 2011
DTD 01/21/2009
@ 100.52
JP MORGAN SECURITIES INC (BIDL)
TRADE DATE 08/07/09
8/19
8/24
Purchase
PROSHARES ULTRSHORT QQQ
@ 27.00
9,450.00
BROKERAGE
8/19
8/24
Purchase
17.50
J.P. MORGAN SECURITIES INC.
TRADE DATE 08/19/09
PROSHARES ULTRASHORT S&P 500
@ 46.05
16,117.50
BROKERAGE
Total Settled Securities Purchased
Trade
Date
Estimated
Settlement
Date
9/14
17.50
J.P. MORGAN SECURITIES INC.
TRADE DATE 08/19/09
($176,382.50)
350.000
46.05
(16,135.00)
350.000
27.00
EFTA01568251
(9,467.50)
Quantity
150,000.000
Per Unit
Amount
100.52
Market Cost
(150,780.00)
Type
Description
Pending Securities Purchased
8/19
Purchase
FEDERAL HOME LOAN BANK
1 1/2% DEC 14 2012
DTD 09/14/2009
STEP CPN
Quantity
100,000.000
Per Unit
Amount
100.00
Market Cost
(100,000.00)
Page 19 of 34
EFTA01568252
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - Australia Dollar
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Income
Foreign Exchange - Inflows
Total Inflows
TRADE ACTIVITY
Total Trade Activity
Settled Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-Year-To-Date
Value*
-(1,170.01)
100,000.00
$100,000.00
(100,000.00)
($100,000.00)
-162,949.47
$161,779.46
(161,779.46)
($161,779.46)
-119,047.61
119,047.61
(119,047.61)
EFTA01568253
(119,047.61)
0.00
Local
Value
Current
Period Value
0.00
Year-To-Date
Value*
-(1,437.00)
196,362.11
194,925.11
(194,925.11)
(194,925.11)
-Page
20 of 34
EFTA01568254
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Detail - Australia Dollar
INFLOWS & OUTFLOWS
Settlement
Date
8/11
Type
Spot FX
Description
SPOT CURRENCY TRANSACTION - BUY
BUY AUD SELL USD
EXCHANGE RATE .840000000
DEAL 08/07/09 VALUE 08/11/09
Quantity
(100,000.000)
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
100,000.00
119,047.61
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
TRADE ACTIVITY - Australia Dollar
Per Unit
Trade
Date
Settlement
Date
8/13
Type
Settled Securities Purchased
8/13
Purchase
Description
JP MORGAN CHASE BANK - AUD
LONDON TIME DEPOSITS 2.5000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Quantity
119,047.610
Amount USD
Local Value
84.345
100.00
EFTA01568255
Market
Cost USD
Local Value
(100,000.00)
(119,047.61)
Currency
Gain/Loss USD
Page 21 of 34
EFTA01568256
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - Brazilian Real
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Foreign Exchange - Inflows
TRADE ACTIVITY
Total Trade Activity
Period Value
-72,010.50
$72,010.50
Settled
Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--(72,010.50)
($72,010.50)
-Year-To-Date
Value*
-72,010.50
$72,010.50
(72,010.50)
($72,010.50)
-Local
Value
Current
Period Value
0.00
EFTA01568257
132,060.06
132,060.06
(132,060.06)
(132,060.06)
0.00
Year-To-Date
Value*
-132,060.06
132,060.06
(132,060.06)
(132,060.06)
-Page
22 of 34
EFTA01568258
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Detail - Brazilian Real
INFLOWS & OUTFLOWS
Settlement
Date
8/20
Type
Spot FX
Description
LINKED CURRENCY TRANSACTION - BUY
BUY BRL SELL USD
EXCHANGE RATE 1.833900000
DEAL 08/12/09 VALUE 08/17/09
Quantity
(72,010.500)
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
72,010.50
132,060.06
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
TRADE ACTIVITY - Brazilian Real
Per Unit
Trade
Date
Settlement
Date
8/20
Type
Settled Securities Purchased
8/12
Purchase
Description
KFW - BRL
MEDIUM TERM NOTE 9 1/8% FEB 5 2010
DTD 10/05/2007
HELD BY EUROCLEAR ISIN:XS0323929546
SEDOL:B284W67
Quantity
125,000.000
Amount USD
Local Value
57.61
EFTA01568259
105.648
Market
Cost USD
Local Value
(72,010.50)
(132,060.06)
Currency
Gain/Loss USD
Page 23 of 34
EFTA01568260
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - N ZEALAND DOLLAR
PRINCIPAL
US Dollar Value
Current
Transactions
Income
OUTFLOWS
Total Outflows
Tax Payments
$0.00
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Total Trade Activity
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
$0.00
-60,244.23
(158,455.10)
($98,210.87)
-0.00
0.00
95,000.00
(246,388.23)
(151,388.23)
-Period
Value
Beginning Cash Balance
INFLOWS
Foreign Exchange - Inflows
Total Inflows
-Year-To-Date
Value*
-310.33
$0.00
98,216.82
$98,527.15
(316.28)
($316.28)
0.00
Local
Value
Current
Period Value
0.00
Year-To-Date
Value*
-532.73
151,354.25
EFTA01568261
151,886.98
0.00
(498.75)
(498.75)
Page
24 of 34
EFTA01568262
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - N ZEALAND DOLLAR
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Portfolio Activity Detail - N ZEALAND DOLLAR
No Activity This Period
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Page
25 of 34
EFTA01568263
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Foreign Exchange - Inflows
TRADE ACTIVITY
Total Trade Activity
Period Value
-100,000.00
$100,000.00
Settled
Securities Purchased
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--(100,000.00)
($100,000.00)
-Year-To-Date
Value*
-100,000.00
$100,000.00
(100,000.00)
($100,000.00)
-Local
Value
Current
Period Value
0.00
EFTA01568264
611,000.00
611,000.00
(611,000.00)
(611,000.00)
0.00
Year-To-Date
Value*
-611,000.00
611,000.00
(611,000.00)
(611,000.00)
-Page
26 of 34
EFTA01568265
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Settlement
Date
8/11
Type
Spot FX
Description
SPOT CURRENCY TRANSACTION - BUY
BUY NOK SELL USD
EXCHANGE RATE 6.110000000
DEAL 08/07/09 VALUE 08/11/09
Quantity
(100,000.000)
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
100,000.00
611,000.00
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
TRADE ACTIVITY - Norwegian Krone
Per Unit
Trade
Date
Settlement
Date
8/13
Type
Settled Securities Purchased
8/13
Purchase
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 0.8000%
DATED 08/13/2009 MATURITY 02/16/2010
HELD BY LONDON TREASURY SERVICES
Quantity
611,000.000
Amount USD
Local Value
16.573
100.00
EFTA01568266
Market
Cost USD
Local Value
(100,000.00)
(611,000.00)
Currency
Gain/Loss USD
Page 27 of 34
EFTA01568267
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Summary - POUND STERLING
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
$0.00
OUTFLOWS
Total Outflows
Tax Payments
$0.00
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* Year to date information is calculated on a calendar year basis.
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
---Period
Value
-Year-To-Date
Value*
-6.55
$6.55
(0.67)
($0.67)
-0.00
6.18
0.00
Local
Value
Current
Period Value
EFTA01568268
6.18
Year-To-Date
Value*
-4.39
4.39
(0.45)
(0.45)
-Page
28 of 34
EFTA01568269
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Portfolio Activity Detail - POUND STERLING
No Activity This Period
Page 29 of 34
EFTA01568270
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Settled Foreign Exchange Contracts
Currency
Trade Date
Settle Date Counter Currency
Trade Related
NORWEGIAN KRONE
U S DOLLAR
AUSTRALIA DOLLAR
U S DOLLAR
BRAZILIAN REAL
U S DOLLAR
Aug. 7 09
Aug. 11 09
Aug. 7 09
Aug. 11 09
Aug. 12 09
Aug. 20 09
NOK
USD
AUD
USD
BRL
USD
611,000.00
(100,000.00)
119,047.61
(100,000.00)
132,060.06
(72,010.50)
6.110000
0.840000
1.833900
6.110000
0.840000
1.833900
(100,000.00)
(100,000.00)
(72,010.50)
100,000.00
100,000.00
72,010.50
Amount
Counter Amount Contract Rate Revaluation Rate
Contracted Base
Amount USD
Revalued
Amount USD
Currency G/L
Page 30 of 34
EFTA01568271
EFTA01568272
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
In Case of Errors or Questions About Your Electronic Transfers.
Contact your J.P. Morgan Team at one of the telephone numbers on the front
of this statement or write us at , 1/OPS, 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 in error or why you
need more information. (3) tell us the dollar amount of the suspected error.
If you contact us orally, you must send us your complaint or question in
writing within 10 business days in order to preserve
your rights. We will investigate your complaint and will correct any error
promptly. If we take more than 10 business days to do this (20 days for
purchases using your debit card or for international
transactions), we will credit your account for the amount you think is in
error, so that you will have the use of money during the time it takes us to
complete our investigation.
In case of errors or questions about your statement, including your line of
credit.
If you think that your statement is incorrect or if you need more
information about a transaction on your statement including a line of credit
transaction, you must write to us on a separate sheet describir
the error and send it to: J.P. Morgan's Private Bank,
, 1/OPS3, Newark, DE 19713-2107. We must hear from you no later than 60
days after the statement on which the
error or problem appeared is sent. You can contact your client service
specialist but doing so will not preserve your rights.
Please review your account statement and promptly report any inaccuracy or
discrepancy including possible unauthorized trading activity, unrecorded
dividend payments, and unaccounted cash
positions in writing to both the introducing broker, JPMSI and the clearing
firm, JPMCC at the addresses shown on your statement. Any oral communication
should be re-confirmed in writing to further
protect your rights, including your rights under the Securities Investor
Protection Act (SIPA). If you have any questions please contact your JPMSI
Account Representative or JPMSI Compliance
Department at
In your letter, 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.
Page 31 of 34
EFTA01568273
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
Important Information about Pricing and Valuations
Certain assets including but not limited to, pooled private investments, non -
publicly traded and infrequently traded securities, derivatives, partnership
interests and tangible assets are generally illiquid,
the value of which may have been provided to us by third parties who 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.
Prices, some of which are provided by pricing services or other sources
which we deem reliable, are not guaranteed for accuracy or as realizable
values.
Market value information (including without limitation, prices, exchange
rates, accrued income and bond ratings) furnished herein has been obtained
from sources that J.P. Morgan believes to be
reliable and is furnished for the exclusive use of the client.
J.P. Morgan makes no representation, warranty or guarantee, express or
implied, that any quoted value represents the actual terms at which
transactions or 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.
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 current value for Real Estate, Mineral Interests and Miscellaneous
Assets may not reflect the most current value of the asset.
Valuations of over-the-counter derivative transactions, including certain
derivatives-related deposit products, have been prepared on a mid-market
basis. These valuations are indicative values as of the
close of business of the date of this statement and, except as otherwise
agreed in writing, these valuations do not represent the actual terms at
which transactions or 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 as of the date of
this statement. We do not warrant their completeness or
accuracy. These valuations are derived from proprietary models based upon
well-recognized financial principles and we have, when necessary to
calculate the present value of future cash flows, made
reasonable estimates about relevant future market conditions. Valuations
based on other models or different assumptions may yield different results.
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.
Please review your statement promptly and report any discrepancies
EFTA01568274
immediately to an account officer whose name appears on the contact page of
this statement.
The JPMorgan Funds or The JPMorgan Institutional Funds or The American
Century Funds
Shares of the funds are not bank deposits and are not guaranteed by any
bank, government entity, or the FDIC. Return and share price will fluctuate
and redemption value may be more or less than
original cost. While the money market funds seek to maintain a stable net
asset value of $1.00 per share, there is no assurance that they will
continue to do so. The estimated annual income and
dividend yield figures for mutual funds represent the funds' most recent
income dividend annualized.
The distributor of the JPMorgan Funds is JPMorgan Distribution Services,
Inc., which is an affiliate of the Bank. The Bank and its affiliates receive
compensation from JPMorgan Funds for providing
services. American Century Investment Services, Inc. is the distributor of
the American Century Funds. American Century Investment Management Inc.
serves as investment advisor to its respective
fund family and receives compensation from that fund family for providing
investment advisory and other services.
Page 32 of 34
EFTA01568275
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
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 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. Accordingly, investors should not rely on pricing
information appearing in their statements with respect to ARS.
Additional Information About Your Accounts
Securities purchased or sold through JPMSI (1) other than mutual funds, are
cleared through J.P.Morgan Clearing Corp. ("JPMCC"), an affiliate of JPMSI,
and (2) other than exchange-listed options,
are held in your Asset Account at JPMorgan Chase Bank, N.A. Positions in
exchange-listed options are held by J.P.Morgan Clearing Corp. and are not
delivered to or from your Asset Account. For
your convenience, however, positions in exchange-listed options are
presented in this Asset Account statement together with other assets held in
that account. All pertinent information about your
settled and pending purchases and sales effected through your JPMSI account
during the period covered by this statement, is summarized in the "Trade
Activity" portion of this statement.
You should have received separate confirmations for each securities
transaction. All transactions are subject to the terms and conditions stated
on the reverse side of such confirmations and are subject
to the constitution, by-laws, customs and interpretations of the marketplace
where executed and governed by and construed in accordance with the laws of
the State of New York and all applicable
federal laws and regulations. Further information with respect to
commissions and other charges related to the execution of transactions,
including options transactions, has been included in
confirmations that were previously furnished to you. Upon written request,
JPMSI will promptly supply you with the latest such information.
Shareholders of certain JPMorgan Funds are charged a redemption fee equal to
2% of the proceeds if they exchange or redeem shares of such funds within 60
days of purchase, subject to certain
exceptions set forth in the prospectus of the applicable Fund. Please
consult your J.P. Morgan representative for a list of the JPMorgan Funds
that impose redemption fees.
JPMCC and JPMSI 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 JPMSI and JPMCC are
protected by SIPC up to $500,000 per customer, which includes up to $100,000
of protection for cash. SIPC does not
protect against losses from fluctuations in the value of the securities.
Assets held in custody by JPMorgan Chase Bank, N.A. (the "Bank") are not
subject to SIPC. You may obtain information about
EFTA01568276
SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by
contacting them at
To the extent applicable, please read the following disclosures 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.
JPMSI, JPMCB or their affiliates (the "J.P. Morgan Companies") may provide
administrative, custodial, sales, distribution or shareholder services to
JPMorgan Funds, American Century Funds, or funds
established, sponsored, advised, or managed by third parties, and the J.P.
Morgan Companies may be compensated for such services.
A financial statement of this organization is available to you for personal
inspection at its offices, or a copy will be mailed to you upon written
request
Bank products and services are offered through JPMCB and its affiliates.
Securities are offered by JPMSI and, to the extent noted above, cleared
through JPMCC.
If a partial call is made with respect to an issue of securities included in
your Account we will allocate the call by a method we deem fair and
equitable.
You must promptly advise JPMSI of material changes in your investment
objectives or financial situation. Unless you inform JPMSI otherwise, JPMSI
will consider the information currently in its files to be
complete and accurate.
Page 33 of 34
EFTA01568277
GHISLAINE MAXWELL ACCT.
For the Period 8/1/09 to 8/31/09
JPMSI is not a bank and is a separate legal entity from its bank or thrift
affiliates, including JPMCB. The securities sold, offered, or recommended by
JPMSI:
(1) Are not insured by the Federal Deposit Insurance Corporation, or any
other governmental agency;
(2) Are not deposits or other obligations of JPMSI's bank or thrift
affiliates (unless otherwise indicated), and are not guaranteed by or the
responsibility of any such affiliates (unless explicitly stated
otherwise); and
(3) Involve investment risks, including possible loss of the principal
invested.
JPMSI's banking affiliates may be lenders to issuers of securities that
JPMSI underwrites, in which case proceeds of offerings underwritten by JPMSI
may be used for the repayment of such loans, and
you should refer to the disclosure documents relating to particular
securities for discussion of any such lending relationships. The Federal
Reserve requires that JPMSI obtain your consent before it can
obtain certain information from its bank or thrift affiliates, including
their credit evaluation of you. We will assume that your continuing to
transact business with JPMSI will constitute your consent to the
sharing of such information by JPMSI and its bank or thrift affiliates, to
the extent permitted by law.
DEPOSITS IN FOREIGN BRANCHES ARE NOT INSURED BY THE FDIC, THE FEDERAL
RESERVE BOARD OR ANY OTHER GOVERNMENTAL AGENCY; AMOUNTS IN THE TIME DEPOSITS
DO NOT HAVE THE BENEFIT OF ANY DOMESTIC PREFERENCE APPLICABLE TO U.S. BANKS.
Page 34 of 34
EFTA01568278
ℹ️ Document Details
SHA-256
d12de4cc0f8cf57a9bfb162d905d1ba5db2782ce4f3d6c49c76e486b8c96d698
Bates Number
EFTA01568221
Dataset
DataSet-10
Document Type
document
Pages
58
Comments 0