📄 Extracted Text (5,506 words)
GHISLAINE MAXWELL
MIAMI BEACH FL 33139-1331
EFTA01569321
EFTA01569322
JPMorgan Chase Bank, N.A.
GHISLAINE MAXWELL
, New York, NY 10017-2014
ACCT.
For the Period 1/1/11 to 1/31/11
Asset Account
J.P. Morgan Team
Paul Morris
Ian Hirschfield
Janet Young
Pauline Esposito
Banker
Investment Specialist
Client Service Team
Client Service Team
Table of Contents
Account Summary
Holdings
Equity
Cash and Short Term
Fixed Income
Convertibles
Other Assets
Portfolio Activity
Online access
www.MorganOnline.com
Page
3
5
8
11
14
15
16
Client News
2010 Year End Tax 1099's
You will be able to view your 2010 Form 1099 on Morgan
Online beginning Feb 24, 2011. You should expect to
receive them via mail shortly thereafter. You may contact
your J.P. Morgan Team with any questions.
Important change affecting your asset account
The current standard maximum deposit insurance
amount (SMDIA) has been permanently raised to
$250,000. This FDIC insurance coverage limit applies
per depositor, per insured bank for each account
ownership category. Due to this change we are
modifying the Combined Terms and Conditions. Unless
otherwise indicated below, all other terms and conditions
EFTA01569323
of the various account agreements still apply. Please
contact your J.P. Morgan team if you have questions
about these changes.
The next to the last paragraph of the Deposit Sweep
in the Asset Account Agreement is replaced as
follows:
The Deposit Sweep is insured by the Federal
Deposit Insurance Corporation ("FDIC") for the standard
insurance amount of $250,000 per depositor, per insured
bank, for each account ownership category. The
0000013259.00.0.20.00003.MAXWE00.20110202
Page 1 of 25
EFTA01569324
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Client News
$250,000 limit on FDIC insurance generally represents
the aggregate coverage available to an individual for all
deposit accounts held in a custodial capacity on the
individual's behalf at any particular insured financial
institution. If the combined balances of my Deposit
Sweep and any other single ownership categories that I
have with the same bank exceeds $250,000, my total
FDIC coverage for all single ownership categories with
the same bank will be limited to $250,000, but if I have
funds in a different insured depository Morgan Affiliate,
those funds will be covered separately. Funds in a
Deposit Sweep in excess of $250,000 will be uninsured.
Page 2 of 25
EFTA01569325
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Account Summary
Asset Allocation
Equity
Cash & Short Term
Fixed Income
Convertibles
Other Assets
Market Value
Accruals
Market Value with Accruals
Beginning
Ending
Market Value
632,039.00
520,786.48
582,164.41
54,110.00
157,179.50
$1,946,279.39
14,142.65
$1,960,422.04
Market Value
613,587.00
529,382.02
569,435.08
54,310.00
155,933.50
$1,922,647 60
17,502.14
$1,940,149 74
Current
Portfolio Activity
Beginning Market Value
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
1,946,279.39
(205.99)
823,854.82
(821,951.03)
$1,697.80
7,544.28
EFTA01569326
(32,873.87)
$1,922,647.60
17,502.14
$1,940,149.74
Change
In Value
(18,452.00)
8,595.54
(12,729.33)
200.00
(1,246.00)
($23,631.79)
3,359.49
($20,272.30)
Year-to-Date
Value
1,946,279.39
(205.99)
823,854.82
(821,951.03)
$1,697.80
7,544.28
(32,873.87)
$1,922,647.60
17,502.14
$1,940,149.74
Estimated
34,147.50
6,200.55
23,423.33
2,375.00
4,125.00
Current
Annual Income Allocation
31%
28%
30%
3%
8%
$70,271.38
100%
Cash &
Short Term
Fixed
Income
Convertibles
Other
Assets
Asset Allocation
Equity
Page 3 of 25
EFTA01569327
EFTA01569328
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Account Summary
Tax Summary
Interest Income
Taxable Income
CONTINUED
Current
Period Value
7,544.28
$7,544.28
Year-to-Date
Value
7,544.28
$7,544.28
Unrealized Gain/Loss
To-Date Value
($32,998.57)
Cost Summary
Equity
Cost
Cash & Short Term
Fixed Income
Convertibles
Other Assets
Total
613,001.42
522,990.23
593,451.02
50,000.00
176,203.50
$1,955,646.17
Page 4 of 25
EFTA01569329
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Equity Summary
Asset Categories
US Large Cap
US Mid Cap/Small Cap
Non US Equity
Preferred Stocks
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Equity Detail
Estimated
Quantity
US Large Cap
AT&T INC
00206R-10-2 T
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
Beginning
Market Value
79,405.00
15,564.00
100,500.00
436,570.00
$632,039.00
Ending
Market Value
77,510.00
14,700.00
89,954.00
431,423.00
$613,587.00
Current
Period Value
613,587.00
EFTA01569330
613,001.42
585.58
34,147.50
2,267.50
5.57%
Non US Equity
Change
In Value
(1,895.00)
(864.00)
(10,546.00)
(5,147.00)
($18,452.00)
Current
Allocation
4%
1%
5%
21%
31%
US Mid Cap/Small Cap
US Large Cap
Preferred Stocks
Asset Categories
Equity
1,000.000
27.52
27,520.00
26,290.00
1,230.00
1,720.00
430.00
6.25%
Page 5 of 25
EFTA01569331
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Estimated
Quantity
US Large Cap
PFIZER INC
717081-10-3 PFE
PROSHARES ULTRASHORT S&P 500
Total US Large Cap
74347R-88-3 SDS
3,500.000
US Mid Cap/Small Cap
GERON CORP
374163-10-3 GERN
Non US Equity
FIRST MAJESTIC SILVER CORP
ISIN CA32076V1031 SEDOL 2833583
32076V-91-3 AG CAD
SPDR GOLD TRUST
Total Non US Equity
78463V-10-7 GLD
3,500.000
Preferred Stocks
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
$89,954.00
$74,733.64
$15,220.36
$0.00
0.00%
400.000
129.87
51,948.00
33,482.00
18,466.00
3,100.000
12.26
38,006.00
41,251.64
(3,245.64)
$77,510.00
$97,559.50
($20,049.50)
$2,920.00
$430.00
3.77%
1,000.000
22.66
22,660.00
44,809.50
EFTA01569332
(22,149.50)
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
1,500.000
18.22
27,330.00
26,460.00
870.00
1,200.00
4.39%
3,000.000
4.90
14,700.00
18,129.32
(3,429.32)
10,000.000
26.73
267,300.00
261,300.00
6,000.00
19,690.00
7.37%
Page 6 of 25
EFTA01569333
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Estimated
Quantity
Preferred Stocks
COUNTRYWIDE CAPITAL V
7% PFD
222388-20-9 CFC PB
3PM CHASE CAPITAL XXIX
6.7% PFD
48125E-20-7 3PM PC
Total Preferred Stocks
2,500.000
16,700.000
25.43
63,575.00
$431,423.00
62,500.00
$422,578.96
1,075.00
$8,844.04
4,187.50
$31,227.50
$1,837.50
6.59%
7.24%
4,200.000
23.94
100,548.00
98,778.96
1,769.04
7,350.00
1,837.50
7.31%
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
Page 7 of 25
EFTA01569334
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Cash & Short Term Summary
Beginning
Asset Categories
Cash
Short Term
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
Short Term
Less than 3 months
6-12 months
Total Value
Market
Value
208,986.81
46,284.64
$255,271.45
Market Value
267,194.30
253,592.18
$520,786.48
Ending
Market Value
274,110.57
255,271.45
$529,382.02
Current
Period Value
529,382.02
522,990.23
6,391.79
6,200.55
834.57
1.25%
SUMMARY BY TYPE
Short Term
International Bonds
Mutual Funds
Total Value
Market
Value
255,270.45
1.00
EFTA01569335
$255,271.45
% of Bond
Portfolio
99%
1%
100%
Short Term
Change
In Value
6,916.27
1,679.27
$8,595.54
Current
Allocation
15%
13%
28%
Cash
Asset Categories
Cash &
Short Term
Page 8 of 25
EFTA01569336
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
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
CANADIAN DOLLAR
POUND STERLING
US DOLLAR
Total Cash
Short Term
JPMORGAN NEW YORK MUNICIPAL MONEY
MARKET FUND
MORGAN SHARE CLASS
FUND 3
7-Day Annualized Yield: .08%
4812A0-81-3
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.4500%
DATED 01/27/2011 MATURITY 02/03/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2519S9-9V-1 NOK
583,754.50
17.31
101,066.40
101,451.80
(385.40)
1,465.46
20.31
1.54%
1.00
1.00
1.00
1.00
0.10%
64,089.11
97.73
209,880.94
1.00
1.60
1.00
64,073.09
156.54
209,880.94
$274,110.57
EFTA01569337
60,690.45
153.54
209,880.94
$270,724.93
$3,385.64
3,382.64
3.00
62.96
5.19
$62.96
$5.19
0.03%
0.02%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
Page 9 of 25
EFTA01569338
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Quantity
Short Term
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.4500%
DATED 01/28/2011 MATURITY 02/04/2011
HELD BY LONDON TREASURY SERVICES
Bearer
2519T9-9G-3 NOK
INTER AMERICAN DEVEL BANK - IDR
6.7% OCT 31 2011
DTD 10/30/2009
HELD BY EUROCLEAR
ISIN XS0459432679 SEDOL B5756J3
458183-9K-8 NA /AAA IDR
Total Short Term
420,832,092.61
$255,271.45
$252,265.30
$3,006.15
$6,137.59
$829.38
2.57%
419,625,000.00
0.01
46,284.64
48,769.75
(2,485.11)
3,107.30
791.70
7.31%
623,337.11
17.31
107,919.41
102,042.75
5,876.66
1,564.83
17.37
1.51%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
EFTA01569339
Yield
Page 10 of 25
EFTA01569340
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Fixed Income Summary
Asset Categories
US Fixed Income - Taxable
Non-US Fixed Income
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
SUMMARY BY MATURITY
Fixed Income
Less than 5 years,
5-10 years,
Total Value
1
Market
Value
426,860.08
142,575.00
$569,435.08
% of Bond
Portfolio
75%
25%
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.
Beginning
Market Value
98,113.00
484,051.41
$582,164.41
Ending
Market Value
98,546.00
470,889.08
$569,435.08
Current
Period Value
569,435.08
593,451.02
(24,015.94)
23,423.33
14,400.07
5.13%
EFTA01569341
SUMMARY BY TYPE
Fixed Income
Government and Agency Bonds
International Bonds
Total Value
Market
Value
98,546.00
470,889.08
$569,435.08
% of Bond
Portfolio
17%
83%
100%
US Fixed Income
- Taxable
Non-US
Fixed Income
Change
In Value
433.00
(13,162.33)
($12,729.33)
Current
Allocation
5%
25%
30%
Asset Categories
Fixed
Income
Page 11 of 25
EFTA01569342
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Fixed Income Detail
Quantity
US Fixed Income - Taxable
FHLB 1.250% 09/29/15
313371-2G-0 AAA /WR
Non-US Fixed Income
INTL BK RECON & DEVELOP - BRL
8.75% JUN 15 2012
DTD 08/20/2009
HELD BY EUROCLEAR
ISIN XS0446421157 SEDOL B435Z93
459058-96-1 NA /AAA BRL
INTER AMERICAN DEVELOPMENT BANK- INR
MEDIUM TERM NOTE 3% MAR 25 2014
DTD 03/25/2010
HELD BY EUROCLEAR
ISIN XS0495010562 SEDOL B5114T3
U45818-9G-5 AAA /AAA INR
INTER AMERICAN DEVEL BK - IDR
MEDIUM TERM NOTE 6.50% JUN 04 2014
DTD 06/04/2010
HELD BY EUROCLEAR
ISIN XS0513770957 SEDOL 944985B
45818W-9K-4 IDR
1,300,000,000.000
0.01
137,956.00
150,112.11
(12,156.11)
9,339.08
6,191.77
7.92%
6,700,000.000
2.04
136,947.93
143,232.17
(6,284.24)
4,378.13
3,754.39
5.17%
90,000.000
59.34
53,410.15
50,106.74
3,303.41
4,706.12
2,978.36
9.24%
Price
EFTA01569343
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
100,000.000
98.55
98,546.00
100,000.00
(1,454.00)
1,250.00
423.60
1.57%
Page 12 of 25
EFTA01569344
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Quantity
Non-US Fixed Income
BARCLAYS BANK PLC
MEDIUM TERM NOTE 2 2/1% OCT 20 2017
DTD 10/20/2010
06740P-VG-8 NA /AA3
Total Non-US Fixed Income
1,306,940,000.000
$470,889.08
$493,451.02
($22,561.94)
$22,173.33
$13,976.47
5.88%
Price
Market
Value
Tax Cost
Adjusted
Original
Estimated
Unrealized
Gain/Loss
Annual Income
Accrued Interest
Yield
150,000.000
95.05
142,575.00
150,000.00
(7,425.00)
3,750.00
1,051.95
3.33%
Page 13 of 25
EFTA01569345
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Convertibles Summary
Asset Categories
Convertibles - Equity
Beginning
Market Value
54,110.00
Ending
Market Value
54,310.00
Change
In Value
200.00
Current
Allocation
3%
Asset Categories
Convertibles
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Yield
Convertibles Detail
Estimated
Quantity
Convertibles - Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
Price
Market
Value
Tax Cost
Adjusted
Original
Unrealized
Gain/Loss
Annual Income
Accrued
Dividends
Yield
Period Value
54,310.00
50,000.00
4,310.00
2,375.00
4.37%
EFTA01569346
1,000.000
54.31
54,310.00
50,000.00
4,310.00
2,375.00
4.37%
Page 14 of 25
EFTA01569347
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Other Assets Summary
Asset Categories
Other
Beginning
Estimated Value
157,179.50
Ending
Estimated Value
155,933.50
Change
In Value
(1,246.00)
Current
Allocation
8%
Asset Categories
Other
Assets
Current
Market Value/Cost
Estimated Value
Tax Cost
Estimated Gain/Loss
Estimated Annual Income
Yield
Other Assets Detail
Cost
Quantity
Other
MS 7YNC1Y STEP-UP NOTE 09/13/17
INITIAL RATE 2.75% CPN
WHERE MAX RATE IS 6% PER ANNUM
DD 9/8/10
61745E-6Q-9 A /A2
PROSHARES ULTRSHORT QQQ
Total Other
74347R-87-5 QID
151,000.000
$155,933.50
$176,203.50
($20,270.00)
Page 15 of 25
1,000.000
10.93
10,930.00
26,203.50
(15,273.50)
150,000.000
96.67
EFTA01569348
145,003.50
150,000.00
(4,996.50)
Price
Estimated
Value
Adjusted
Original
Estimated
Gain/Loss
Accruals
Period Value
155,933.50
176,203.50
(20,270.00)
4,125.00
3.10%
EFTA01569349
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
PRINCIPAL
Current
Transactions
Income
INFLOWS
Total Inflows
Ending Cash Balance
Period Value
202,542.65
7,338.29
$7,338.29
$209,880.94
* Year to date information is calculated on a calendar year basis.
Your account's standing instructions use a HIGH COST method for relieving
assets from your position
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Settlement
Date
1/3
Type
Selection Method
Interest Income
Description
DEPOSIT SWEEP INTEREST FOR DEC. @
.03% RATE ON NET AVG COLLECTED
BALANCE OF $92,137.61
AS OF 01/01/11
1/3
1/31
Interest Income
Interest Income
Total Inflows & Outflows
3PM CHASE CAPITAL XXIX
6.7% PFD
@ 0.41875 PER SHARE
CITIGROUP CAPITAL XIII
7 7/8% PFD
@ 0.628906 PER SHARE
$7,338.29
Page 16 of 25
2,500.000
10,000.000
0.419
0.629
1,046.88
6,289.06
EFTA01569350
Quantity
Cost
Per Unit
Amount
PRINCIPAL
Amount
2.35
INCOME
Amount
Year-To-Date
Value*
-7,338.29
$7,338.29
-INCOME
Current
Period
Value
0.00
Year-To-Date
Value*
-$0.00
$0.00
$0.00
EFTA01569351
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Portfolio Activity Summary - Norwegian Krone
PRINCIPAL
US Dollar Value
Current
Transactions
Beginning Cash Balance
INFLOWS
Total Inflows
Income
OUTFLOWS **
Total Outflows
Withdrawals
Ending Cash Balance
* 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
INCOME
US Dollar Value
Current
Transactions
Beginning Cash Balance
Ending Cash Balance
* 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
Period Value
--Year-To-Date
Value*
--Local
Value
Current
Period Value
0.00
0.00
Year-To-Date
Value*
--Period
Value
-205.99
$205.99
(205.99)
($205.99)
-Year-To-Date
Value*
-205.99
$205.99
(205.99)
($205.99)
-Local
EFTA01569352
Value
Current
Period Value
0.00
1,207.26
1,207.26
(1,207.26)
(1,207.26)
0.00
Year-To-Date
Value*
-1,207.26
1,207.26
(1,207.26)
(1,207.26)
-Page
17 of 25
EFTA01569353
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
Portfolio Activity Detail - Norwegian Krone
INFLOWS & OUTFLOWS
Settlement
Type
Date
1/6
Selection Method
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3500%
DATED 12/30/2010 MATURITY 01/06/2011
HELD BY LONDON TREASURY SERVICES
1/6
1/6
Misc. Disbursement
Receipt of Assets
ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
583,312.040
LONDON TIME DEPOSITS 1.3000%
DATED 01/06/2011 MATURITY 01/13/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/6
Free Delivery
High Cost
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3500%
DATED 12/30/2010 MATURITY 01/06/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/7
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.1500%
DATED 12/31/2010 MATURITY 01/07/2011
HELD BY LONDON TREASURY SERVICES
1/7
1/7
Misc. Disbursement
Free Delivery
High Cost
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(622,725.390)
LONDON TIME DEPOSITS 1.1500%
EFTA01569354
DATED 12/31/2010 MATURITY 01/07/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
Page 18 of 25
(139.250)
(23.38)
(139.25)
622,725.390
23.38
139.25
(583,158.960)
(153.080)
(25.70)
(153.08)
Quantity
583,158.960
Per Unit
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
25.70
153.08
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01569355
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
1/7
Type
Selection Method
Receipt of Assets
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/07/2011 MATURITY 01/14/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/13
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/06/2011 MATURITY 01/13/2011
HELD BY LONDON TREASURY SERVICES
1/13
1/13
Misc. Disbursement
Free Delivery
High Cost
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(583,312.040)
LONDON TIME DEPOSITS 1.3000%
DATED 01/06/2011 MATURITY 01/13/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/13
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/13/2011 MATURITY 01/20/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/14
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/07/2011 MATURITY 01/14/2011
HELD BY LONDON TREASURY SERVICES
1/14
Misc. Disbursement
REP: ROLLOVER TO TIME DEPOSIT
EFTA01569356
NORWEGIAN KRONE
(157.450)
(26.86)
(157.45)
622,864.640
26.86
157.45
583,459.490
(147.450)
(24.94)
(147.45)
583,312.040
24.94
147.45
Quantity
622,864.640
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 19 of 25
EFTA01569357
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
1/14
Type
Selection Method
Free Delivery
High Cost
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/07/2011 MATURITY 01/14/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/14
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/14/2011 MATURITY 01/21/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/20
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/13/2011 MATURITY 01/20/2011
HELD BY LONDON TREASURY SERVICES
1/20
1/20
Misc. Disbursement
Free Delivery
High Cost
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(583,459.490)
LONDON TIME DEPOSITS 1.3000%
DATED 01/13/2011 MATURITY 01/20/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/20
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/20/2011 MATURITY 01/27/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/21
EFTA01569358
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/14/2011 MATURITY 01/21/2011
HELD BY LONDON TREASURY SERVICES
Page 20 of 25
623,022.090
26.76
157.49
583,606.980
(147.490)
(25.43)
(147.49)
583,459.490
25.43
147.49
623,022.090
Quantity
(622,864.640)
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
EFTA01569359
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
1/21
1/21
Type
Selection Method
Misc. Disbursement
Free Delivery
High Cost
Description
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(623,022.090)
LONDON TIME DEPOSITS 1.3000%
DATED 01/14/2011 MATURITY 01/21/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/21
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/21/2011 MATURITY 01/28/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/27
Foreign Interest
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/20/2011 MATURITY 01/27/2011
HELD BY LONDON TREASURY SERVICES
1/27
1/27
Misc. Disbursement
Free Delivery
High Cost
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(583,606.980)
LONDON TIME DEPOSITS 1.3000%
DATED 01/20/2011 MATURITY 01/27/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/27
Receipt of Assets
JP MORGAN CHASE BANK - NOK
EFTA01569360
LONDON TIME DEPOSITS 1.4500%
DATED 01/27/2011 MATURITY 02/03/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
583,754.500
(147.520)
(25.65)
(147.52)
583,606.980
25.65
147.52
623,179.580
Quantity
(157.490)
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
(26.76)
(157.49)
INCOME
Amount USD
Local Value
Currency
Gain/Loss USD
Page 21 of 25
EFTA01569361
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
INFLOWS & OUTFLOWS
Per Unit
Settlement
Date
1/28
Type
Selection Method
Foreign Interest
Description
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.3000%
DATED 01/21/2011 MATURITY 01/28/2011
HELD BY LONDON TREASURY SERVICES
1/28
1/28
Misc. Disbursement
Free Delivery
High Cost
REP: ROLLOVER TO TIME DEPOSIT
JP MORGAN CHASE BANK - NOK
NORWEGIAN KRONE
(623,179.580)
LONDON TIME DEPOSITS 1.3000%
DATED 01/21/2011 MATURITY 01/28/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
1/28
Receipt of Assets
JP MORGAN CHASE BANK - NOK
LONDON TIME DEPOSITS 1.4500%
DATED 01/28/2011 MATURITY 02/04/2011
HELD BY LONDON TREASURY SERVICES
CLIENT REF FTD
Total Inflows & Outflows
$0.00
623,337.110
(157.530)
(27.27)
(157.53)
Quantity
623,179.580
Amount USD
Local Value
PRINCIPAL
Amount USD
Local Value
27.27
157.53
INCOME
EFTA01569362
Amount USD
Local Value
Currency
Gain/Loss USD
Page 22 of 25
EFTA01569363
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
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, JPMS 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 JPMS
Account Representative or JPMS 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.
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
EFTA01569364
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
Page 23 of 25
EFTA01569365
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
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
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.
This statement is not an official document for income tax reporting purposes.
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 Account (TD F 90-22.1).
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,
EFTA01569366
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. Where J.P. Morgan was unable to obtain a price
from an outside service for a particular ARS, the price
column on your statement and online will indicate "$0.00" which however
should not be relied on as the price at which ARS would trade.
Fund manager disclosure information available upon request
If you have an investment account that is managed by an SEC-Registered
Investment Advisor, the Private Bank of J.P. Morgan will provide a copy of
the advisor's Form ADV II or brochure upon written
request.
Additional Information About Your Accounts
Securities purchased or sold through JPMS (1) other than mutual funds, are
cleared through J.P.Morgan Clearing Corp. ("JPMCC"), an affiliate of 3PMS,
and (2) other than exchange-listed options, are
held in your Asset Account at 3PMorgan Chase Bank, N.A. Positions in
exchange-listed options are held by 3.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 3PMS 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,
3PMS will promptly supply you with the latest such information.
Page 24 of 25
EFTA01569367
GHISLAINE MAXWELL ACCT.
For the Period 1/1/11 to 1/31/11
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 JPMS are members of the Securities Investor Protection Corp
("SIPC"), a not-for-profit membership corporation funded by broker-dealers
registered with the Securities and Exchange
Commission. Securities and cash held for a customer at JPMS 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
SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by
contacting them at (202) 371-8300.
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.
JPMS, 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 JPMS 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 JPMS of material changes in your investment
objectives or financial situation. Unless you inform JPMS otherwise, JPMS
will consider the information currently in its files to be
complete and accurate.
JPMS 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
JPMS:
(1) Are not insured by the Federal Deposit Insurance Corporation, or any
other governmental agency;
(2) Are not deposits or other obligations of JPMS's bank or thrift
EFTA01569368
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.
JPMS's banking affiliates may be lenders to issuers of securities that JPMS
underwrites, in which case proceeds of offerings underwritten by JPMS 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 JPMS 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 JPMS will constitute your consent to the
sharing of such information by JPMS and its bank or thrift affiliates, to
the extent permitted by law.
Page 25 of 25
EFTA01569369
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01569370
ℹ️ Document Details
SHA-256
dc405cc1766c640b9b544a749ed1bf86132ee29d7212e6433650bbbcc50e768c
Bates Number
EFTA01569321
Dataset
DataSet-10
Document Type
document
Pages
50
Comments 0