📄 Extracted Text (8,563 words)
HARRY BELLER
C/O HBRK ASSOCIATES
301 E 66TH ST APT 10F
NEW YORK NY 10065-6216
EFTA01539038
EFTA01539039
For the Period 11/1/11 to 11/30/11
Account Summary
Account
Number
Investment Account(s)
FINANCIAL TRUST COMPANY INC
FINANCIAL TRUST COMPANY INC
Total Value
1
2
Beginning Net
Market Value
69,332,819.03
295,179.02
$69,627,998.05
Ending Net
Market Value
68,581,101.39
297,493.86
$68,878,595.25
This account summary is provided for informational purposes and includes
assets at different entities.
(1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit
Insurance Corporation ("FDIC"), except for exchangelisted
options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The
Asset Account Statement reflects brokerage
transactions executed through J.P. Morgan Securities LLC ("JPMS"), see
"Portfolio Activity Detail". Equity securities, fixed income
securities, and listed options transactions are generally cleared through
JPMCC, a wholly owned subsidiary of 3PMS. Please see
"Additional Information About Your Accounts" at the end of the Asset Account
Statement.
(2) Assets held in Margin Account at JPMCC, member Financial Regulatory
Authority ("FINRA") and Securities Insurance Protection
Corporation ("SIPC"). The Margin Account Statement reflects brokerage
transactions executed by JPMS, see "Portfolio Activity
Detail". Such transactions are cleared and carried through JPMCC.
Please see disclosures located at the end of this statement package for
important information relating to each 3.P.Morgan account(s).
Change
In Value
(751,717.64)
2,314.84
($749,402.80)
Start on
Page
4
28
0000005175.15.0.15.00001.BELLE18.20111202
Consolidated Statement Page 1
EFTA01539040
EFTA01539041
THIS PAGE INTENTIONALLY LEFT BLANK
EFTA01539042
For the Period 11/1/11 to 11/30/11
Consolidated Summary
INVESTMENT ACCOUNTS
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
23,078,193.08
4,591,876.09
41,555,631.25
$69,225,700.42
402,297.63
$69,627,998.05
Ending
Market Value
23,092,595.28
4,347,376.66
41,011,116.90
$68,451,088.84
427,506.41
$68,878,595.25
Change
In Value
14,402.20
(244,499.43)
(544,514.35)
($774,611.58)
25,208.78
($749,402.80)
Equity
Estimated
725,235.75
Current
Annual Income Allocation
34%
6%
1,569,501.58
$2,294,737.33
60%
100%
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
Current
EFTA01539043
Portfolio Activity
Beginning Market Value
Net Contributions/Withdrawals
Income & Distributions
Change in Investment Value
Ending Market Value
Accruals
Market Value with Accruals
Period Value
69,225,700.42
(7,392.75)
199,384.11
(966,602.94)
$68,451,088.84
427,506.41
$68,878,595.25
Year-to-Date
Value
73,399,279.03
(3,962,398.13)
2,011,642.23
(2,997,434.29)
$68,451,088.84
427,506.41
$68,878,595.25
This Consolidated Summary shows all of your investments at J.P. Morgan other
than investments we hold in trust for you. These investments may be held in
custody or investment
management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a
brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC").
Brokerage and margin accounts are
non-discretionary and all investment decisions are made by the client. J.P.
Morgan Securities LLC ("JPMS") does not provide advice on asset allocation
or investment management
services, nor do its personnel take discretion over any client accounts.
Such advice and services are provided exclusively by the Bank.
Consolidated Statement Page 2
EFTA01539044
For the Period 11/1/11 to 11/30/11
Consolidated Summary
INVESTMENT ACCOUNT(S) YEAR-TO-DATE
Portfolio Activity
FINANCIAL TRUST COMPANY INC
FINANCIAL TRUST COMPANY INC
Total Value
Tax Summary
FINANCIAL TRUST COMPANY INC
FINANCIAL TRUST COMPANY INC
Total Value
Account
Number
Account
Number
Beginning
Market Value
67,648,956.00
5,750,323.03
$73,399,279.03
Taxable
Income
1,987,567.27
(1,580.16)
$1,985,987.11
Net Contributions/
Withdrawals
1,373,399.82
(5,335,797.95)
($3,962,398.13)
Tax-Exempt
Income
655.12
$655.12
'Unrealized Gain/Loss represents data from the time of account inception to
the current statement period.
Other Income
& Receipts
25,000.00
$25,000.00
Income &
Distributions
2,013,222.39
(1,580.16)
$2,011,642.23
Change in
Investment Value
EFTA01539045
(2,881,983.23)
(115,451.06)
($2,997,434.29 )
Realized Gain/Loss
Short-term
997,581.75
603,844.31
$1,601,426.06
$487,685.22
Long-term
487,685.22
Ending Market Value
with Accruals
68,581,101.39
297,493.86
$68,878,595.25
Unrealized
Gain/Loss,
(1,032,749.23)
1,954.63
($1,030,794.60)
CONTINUED
Consolidated Statement Page 3
EFTA01539046
JPMorgan Chase Bank, N.A.
270 Park Avenue, New York, NY 10017-2014
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Asset Account
J.P. Morgan Team
Paul Morris
Paul Barrett
Janet Young
Gina Magliocco
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Holdings
Equity
Alternative Assets
Cash & Fixed Income
Portfolio Activity
Page
2
4
8
10
17
Account Page 1 of 24
Consolidated Statement Page 4
EFTA01539047
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Asset Allocation
Equity
Alternative Assets
Cash & Fixed Income
Market Value
Accruals
Market Value with Accruals
Beginning
Market Value
23,110,248.08
4,591,876.09
41,228,397.23
$68,930,521.40
402,297.63
$69,332,819.03
Ending
Market Value
23,120,720.28
4,347,376.66
40,685,498.04
$68,153,594.98
427,506.41
$68,581,101.39
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
Accruals
Market Value with Accruals
($7,357.75)
200,964.27
(970,532.94)
$68,153,594.98
427,506.41
$68,581,101.39
(7,357.75)
Period Value
68,930,521.40
Change
In Value
10,472.20
EFTA01539048
(244,499.43)
(542,899.19)
($776,926.42)
25,208.78
($751,717.64)
Equity
Year-to-Date
Value
67,648,956.00
5,901,714.87
(4,111,383.65)
5,022,500.00
(5,439,431.40)
$1,373,399.82
2,013,222.39
(2,881,983.23)
$68,153,594.98
427,506.41
$68,581,101.39
Estimated
727,803.75
Current
Annual Income Allocation
34%
6%
1,569,501.58
$2,297,305.33
60%
100%
Alternative
Assets
Cash &
Fixed Income
Asset Allocation
Account Page 2 of 24
Consolidated Statement Page 5
EFTA01539049
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Account Summary
Tax Summary
Domestic Dividends/Distributions
Foreign Dividends
Currency Gain/Loss
Interest Income
Ordinary Income
Original Issue Discount
Accrued Interest Current Year
Accrued Interest Subsequent Year
Taxable Income
Tax-Exempt Income
Bond Premium Amortization
Tax-Exempt Income
Cash Receipts
Other Income & Receipts
Cost Summary
Equity
Cash & Fixed Income
Total
(8,844.44)
$200,309.15
694.44
(39.32)
$655.12
CONTINUED
Current
Period Value
81,250.00
Year-to-Date
Value
490,215.92
109,055.00
127,276.13
627.46
(1,140,086.98)
2,624,088.11
42,329.12
79,731.70
(198,265.60)
(19,500.00)
$1,987,567.27
694.44
(39.32)
$655.12
25,000.00
$25,000.00
42,725,359 12
Cost
EFTA01539050
24,495,924.84
$67,221,283.96
ST Realized Gain/Loss
LT Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
292,938.35
$292,938.35
Year-to-Date
Value
997,581.75
487,685.22
$1,485,266.97
Unrealized Gain/Loss
To-Date Value
($1,032,749.23)
Account Page 3 of 24
Consolidated Statement Page 6
EFTA01539051
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Equity Summary
Asset Categories
US Large Cap Equity
US Small/Mid Cap Equity
Preferred Stocks
Concentrated & Other Equity
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Dividends
Yield
Beginning
Market Value
7,591,500.00
590,000.00
2,194,845.00
12,733,903.08
$23,110,248.08
Ending
Market Value
7,482,300.00
516,500.00
2,084,275.00
13,037,645.28
$23,120,720.28
Current
Period Value
23,120,720.28
24,495,924.84
(1,750,669.84)
727,803.75
94,104.71
3.14%
US Large Cap Equity
Change
In Value
(109,200.00)
(73,500.00)
(110,570.00)
303,742.20
$10,472.20
Current
Allocation
11%
1%
3%
EFTA01539052
19%
34%
US Small/Mid Cap Equity
Concentrated & Other Equity
Preferred Stocks
Asset Categories
Equity as a percentage of your portfolio - 34 %
Account Page 4 of 24
Consolidated Statement Page 7
EFTA01539053
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Note:
Unrealized Gain/Loss is shown as "N/A" in cases where we do not have
appropriate cost information for all tax lots comprising the position.
Please contact your J.P. Morgan team for additional
information.
**
Equity Detail
Price
US Large Cap Equity
DB CONT BUFF EQ MS 08/07/12
25% CONTIN BARRIER- 13%CPN
30% CAP
INITIAL LEVEL-07/15/11 MS:21 09
2515A1-A7-6
SG MARKET PLUS SPX 6/20/12
74% CONTIN BARRIER-0%CPN
,UNCAPPED
INITIAL LEVEL-03/16/11 SPX: 1256.88
78423A-L3-4
SG MARKET PLUS SPX 02/07/13
75% CONTIN BARRIER- 6.25%CPN
,UNCAPPED
INITIAL LEVEL-08/03/11 SPX:1,260.34
78423A-2Y-7
Total US Large Cap Equity
$7,482,300.00
$8,000,000.00
($517,700.00)
$0.00
0.00%
95.27
2,000,000.000
1,905,400.00
2,000,000.00
(94,600.00)
98.07
5,000,000.000
4,903,500.00
5,000,000.00
(96,500.00)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
EFTA01539054
67.34
1,000,000.000
673,400.00
1,000,000.00
(326,600.00)
US Small/Mid Cap Equity
DEUTSCHE BK AG LDN BRH
10.33
DBL LONG ETN38
25154H-55-8 DAG
50,000.000
516,500.00
352,529.00
163,971.00
Account Page 5 of 24
Consolidated Statement Page 8
EFTA01539055
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
Preferred Stocks
BARCLAYS BANK PLC
PFD SHS SER 5
8 1/8%
06739H-36-2 BCS PDAA /P-2
CITIGROUP CAPITAL XIII
7 7/8% PFD
173080-20-1 C PNNA /BA1
PUBLIC STORAGE
6.35% PFD
74460D-12-5 PSA PRNA /BAA
Total Preferred Stocks
$2,084,275.00
$2,152,565.50
($68,290.50)
$164,178.75
$17,938.46
Concentrated & Other Equity
GENERAL MOTORS CO
CV PFD B
37045V-20-9 GM PB
JPMORGAN CHASE & CO
7.9% PFD STK APR 30 2049
DTD 04/23/2008
46625H-HA-1 BBB /BAA
LONG TOTAL RETURN SWAP
3,007,792.80 USD NOTIONAL
APPLE INC
MAT FEB 03 2012 DEAL 6505432
N/O Client
SWPBDH-AY-3
42.38
8,860.000
375,465.28
N/A **
N/A
105.78
5,000,000.000
5,288,850.00
5,404,861.12
(116,011.12)
395,000.00
34,010.00
7.44%
7.88%
26.45
16,000.000
423,200.00
EFTA01539056
400,000.00
23,200.00
25,392.00
6.00%
25.67
30,000.000
770,100.00
750,000.00
20,100.00
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
22.70
39,250.000
890,975.00
1,002,565.50
(111,590.50)
79,716.75
17,938.46
59,070.00
8.95%
7.67%
34.18
71,000.000
2,426,780.00
3,585,969.22
(1,159,189.22)
168,625.00
42,156.25
6.95%
Account Page 6 of 24
Consolidated Statement Page 9
EFTA01539057
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
Concentrated & Other Equity
MS MARKET PLUS MO 06/18/12
78% CONTIN BARRIER-15%CPN
,UNCAPPED
INITIAL LEVEL-12/09/10 MO: 24.59
617482-QA-5
MS MARKET PLUS TEF SM 7/26/12
75% CONTIN BARRIER-25.5%CPN
,UNCAPPED
INITIAL LEVEL-1/13/11 TEF: 17.69
617482-QR-8
Total Concentrated & Other Equity
$13,037,645.28
$13,990,830.34
($1,328,650.34)
$563,625.00
$76,166.25
4.31%
73.46
2,000,000.000
1,469,100.00
2,000,000.00
(530,900.00)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
115.92
3,000,000.000
3,477,450.00
3,000,000.00
477,450.00
Account Page 7 of 24
Consolidated Statement Page 10
EFTA01539058
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Alternative Assets Summary
Beginning
Asset Categories
Hard Assets
Note:
Estimated Value
4,591,876.09
P indicates position adjusted for Pending Trade Activity.
Alternative Assets Detail
Price
Hard Assets
P CORN LONG FORWARD CONTRACT
2,041,825.00 USD NOTIONAL
67.00 NOTIONAL CONTRACTS (335K BSH)
6.095 FORWARD RATE
12/02/2011 MATURITY DEAL 40996151
N/O Client
CFCONT-GJ-3
CORN SHORT FORWARD CONTRACT
2,274,650.00 USD NOTIONAL
67.00 NOTIONAL CONTRACTS (335K BSH)
6.79 FORWARD RATE
12/02/2011 MATURITY DEAL 41129331
N/O Client
CFCONT-GM-6
323,251.66
1.000
323,251.66
0.00
90,443.47
0.00
Quantity
Estimated
Value
Cost
Ending
Estimated Value
4,347,376.66
Change
In Value
(244,499.43)
Current
Allocation
6%
Account Page 8 of 24
Consolidated Statement Page 11
EFTA01539059
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
Hard Assets
3PM CORN DLY LIQUIDITY NT 07/25/13
LNKD TO DJUBCN3T
07/22/10
48124A-WK-9
Total Hard Assets
$4,347,376.66
$2,512,500.00
160.97
2,500,000.000
4,024,125.00
2,512,500.00
Quantity
Estimated
Value
Cost
Account Page 9 of 24
Consolidated Statement Page 12
EFTA01539060
FINANCIAL TRUST COMPANY INC ACCT. •
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Non-USD Cash
US Fixed Income
Non-US Fixed Income
Complementary Structured Strategies
Foreign Exchange Contracts
Total Value
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Accrued Interest
Yield
Market Value
19,539,018.15
1,167,988.76
20,280,887.50
367,069.90
781,019.81
(907,586.89)
$41,228,397.23
Ending
Market Value
19,772,104.69
1,127,249.81
19,582,378.00
363,763.70
762,906.87
(922,905.03)
$40,685,498.04
Current
Period Value
40,685,498.04
42,725,359.12
(1,116,956.05)
1,569,501.58
333,401.70
3.75%
US Fixed Income
Change
In Value
233,086.54
(40,738.95)
(698,509.50)
(3,306.20)
EFTA01539061
(18,112.94)
(15,318.14)
($542,899.19)
Current
Allocation
29%
2%
27%
1%
1%
60%
Non-US Fixed Income
Complementary Structured
Strategies
Non-USD Cash
Cash
Asset Categories
Cash & Fixed Income as a percentage of your portfolio 60 %
Account Page 10 of 24
Consolidated Statement Page 13
EFTA01539062
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
6-12 months,
1-5 years,
5-10 years,
10+ years,
Total Value
1
SUMMARY BY TYPE
Market
Value
20,673,861.37
988,400.00
11,213,808.00
4,875,000.00
3,857,333.70
$41,608,403.07
% of Bond
Portfolio
52%
2%
26%
11%
9%
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
NON USD Cash
Corporate Bonds
International Bonds
Complementary Structure
Total Value
Market
Value
19,772,104.69
1,127,249.81
17,794,428.00
2,151,713.70
762,906.87
$41,608,403.07
% of Bond
Portfolio
50%
2%
EFTA01539063
42%
5%
1%
100%
Account Page 11 of 24
Consolidated Statement Page 14
EFTA01539064
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Summary
NET FX CONTRACTS EXPOSURE SUMMARY
Value
SINGAPORE DOLLAR
US DOLLAR
in Currency
3,183,000.00
(3,407,586.89)
Note:
1
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 & Fixed Income Detail
Price
Cash
US DOLLAR
PROCEEDS FROM PENDING SALES
Total Cash
1.00
1.00
19,539,279.69
232,825.00
19,539,279.69
232,825.00
$19,772,104.69
19,539,279.69
232,825.00
$19,772,104.69
$0.00
$5,861.78
$479.26
Non-USD Cash
CANADIAN DOLLAR
0.03%
5,861.78
479.26
0.03%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
0.98
EFTA01539065
0.01
0.01
0.01
Account Page 12 of 24
Consolidated Statement Page 15
EFTA01539066
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
Non-USD Cash
EURO PRINCIPAL CURRENCY
Total Non-USD Cash
1.35
837,388.58
1,127,249.80
$1,127,249.81
1,099,726.08
$1,099,726.09
27,523.72
$27,523.72
$0.00
0.00%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
US Fixed Income
AMERICAN CAPITAL LTD
100.48
8.96% DEC 31 2013
DTD 06/28/2010
02503Y-AF-0 B- /NA
FELCOR LODGING LP
10% OCT 01 2014
DTD 10/01/2009
31430Q-BA-4 NA /B2
FORD MOTOR CREDIT CO LLC
SR NOTES 7% APR 15 2015
DTD 04/09/2010
345397-VN-0 BB+ /BA1
HCA INC
6 1/2% FEB 15 2016
DTD 2/8/2006
404119-AR-0 B- /B3
CIT GROUP INC
144A 7% MAY 02 2016
JUN 15 2011
125581-FZ-6 B+ /B2
98.75
5,000,000.00
4,937,500.00
4,725,000.00
EFTA01539067
212,500.00
107.65
1,200,000.00
1,291,788.00
1,278,000.00
13,788.00
84,000.00
10,732.80
99.75
1,500,000.00
1,496,250.00
1,530,000.00
(33,750.00)
97,500.00
28,707.00
350,000.00
20,415.00
4.53%
107.00
2,321,000.00
2,483,470.00
2,442,852.50
40,617.50
232,100.00
38,681.78
7.22%
1,000,000.00
1,004,800.00
1,011,000.00
(6,200.00)
79,600.00
13,487.00
7.71%
6.57%
7.33%
Account Page 13 of 24
Consolidated Statement Page 16
EFTA01539068
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
US Fixed Income
AMERICAN AXLE & MFG INC
7 7/8% MAR 1 2017
DTD 2/27/2007
02406P-AF-7 B /B2
CIT GROUP INC
144A 7% MAY 02 2017
DTD 06/15/2011
125581-GA-0 B+ /B2
BANK OF AMERICA CORP
8 1/8% PFD STK DEC 29 2049
DTD 04/30/2008
060505-DT-8 BB+ /BA3
ING CAPITAL FUNDING TRUSTS III
8.439% PFD STK DEC 31 2049
DTD 12/15/2000
44978N-AA-3 BBB /B1
Total US Fixed Income
$19,582,378.00
$20,435,528.34
($853,150.34)
$1,476,789.00
$249,450.58
Non-US Fixed Income
REPUBLIC OF ARGENTINA - ARS
FLOATING RATE NOTE DEC 15 2035
DTD 11/01/2005
HELD BY EUROCLEAR
ISIN ARARGEO3E147 SEDOL B1MYWX3
EC0698-9B-7 ARS
7.32%
71.52
2,500,000.00
1,787,950.00
2,445,620.28
(657,670.28)
99,214.00
41,612.50
5.84%
85.28
2,000,000.00
1,705,620.00
2,081,180.56
(375,560.56)
162,500.00
7,222.00
9.57%
98.50
EFTA01539069
2,500,000.00
2,462,500.00
2,306,250.00
156,250.00
175,000.00
39,375.00
7.34%
96.50
2,500,000.00
2,412,500.00
2,615,625.00
(203,125.00)
196,875.00
49,217.50
8.71%
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
3.64
10,000,000.00
363,763.70
318,000.00
45,763.70
86,850.80
83,471.86
24.53%
Account Page 14 of 24
Consolidated Statement Page 17
EFTA01539070
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Price
Complementary Structured Strategies
EUR PUT USD CALL
FX EUROPEAN STYLE OPTION
DEC 12, 2011 @ 1.35
KO @ 1.2775
XEURPB-SD-Z
JPY CALL CAD PUT
FX EUROPEAN STYLE OPTION
AUG 13, 2012 @ 76.
KI @ 71
XJPYCA-RC-Z CAD
JPY PUT CAD CALL
FX EUROPEAN STYLE OPTION
AUG 13, 2012 @ 83.25
XJPYPA-YX-Z CAD
HSBC MARKET PLUS MXN NOTE 11/2/12
LNKED TO MXN VS USD
25% BUFFER, 9.75%CPN, 100%MAXRTN
10/26/11
4042K1-RA-3
Total Complementary Structured Strategies
$762,906.87
$1,100,000.00
($337,093.13)
$0.00
0.00%
98.84
1,000,000.00
988,400.00
1,000,000.00
(11,600.00)
0.02
832,500,000.00
153,337.02
411,436.90
(258,099.88)
0.07
(760,000,000.00 )
(541,295.14)
(411,436.90)
(129,858.24)
Quantity
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
EFTA01539071
Accrued Interest
Yield
1.10
14,814,814.81
162,464.99
100,000.00
62,464.99
Account Page 15 of 24
Consolidated Statement Page 18
EFTA01539072
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Market Value
Receivable
Trade Date
Foreign Exchange Contracts
CHINESE RENMINBI
CHINESE RENMINBI
CHINESE RENMINBI
CHINESE RENMINBI
INDIAN RUPEE
INDIAN RUPEE
US DOLLAR
US DOLLAR
US DOLLAR
US DOLLAR
US DOLLAR
US DOLLAR
SINGAPORE DOLLAR
SINGAPORE DOLLAR
SINGAPORE DOLLAR
US DOLLAR
US DOLLAR
US DOLLAR
Total Foreign Exchange Contracts
Jan. 13 11
Jan. 18 12
Jun. 8 11
Jun. 11 12
Oct. 5 11
Jan. 18 12
Oct. 5 11
Jun. 11 12
Sep. 7 11
Dec. 9 11
Sep. 19 11
Dec. 9 11
Sep. 7 11
Dec. 9 11
Nov. 2 11
Feb. 6 12
Sep. 19 11
Dec. 9 11
CNY
USD
CNY
USD
CNY
USD
CNY
USD
EFTA01539073
INR
USD
INR
USD
SGD
USD
SGD
USD
SGD
USD
64,200,000.00
(10,000,000.00)
31,818,000.00
(5,000,000.00)
(64,200,000.00)
10,060,330.64
(31,818,000.00)
4,983,632.23
457,000,000.00
(9,844,682.36)
(457,000,000.00 )
9,383,983.57
12,679,500.00
(10,508,627.69)
3,183,000.00
(2,500,000.00)
(12,679,500.00)
10,017,776.72
6.420000
6.363600
6.381500
6.384500
46.421000
48.700000
1.206580
1.273200
1.265700
6.365299
6.376461
6.365299
6.376461
52.171999
52.171999
1.281241
1.281049
1.281241
10,085,936.71
10,000,000.00
4,989,915.15
5,000,000.00
10,060,330.64
EFTA01539074
10,085,936.71
4,983,632.23
4,989,915.15
8,759,488.09
9,844,682.36
9,383,983.57
8,759,488.09
9,896,264.63
10,508,627.69
2,484,681.86
2,500,000.00
10,017,776.72
9,896,264.63
$70,662,009.60
$71,584,914.63
85,936.71
(10,084.85)
(25,606.07)
(6,282.92)
(1,085,194.27)
624,495.48
(612,363.06)
(15,318.14)
121,512.09
($922,905.03)
Currency
Settlement Date Counter Currency
Amount
Counter Amount
Contract
Rate
Current Market
Forward Rate
Market Value
Payable
Unrealized
Gain/Loss
Account Page 16 of 24
Consolidated Statement Page 19
EFTA01539075
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary - U S Dollar
Beginning Cash Balance
Current
Transactions
INFLOWS
Income
Contributions
Foreign Exchange - Inflows
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
5,469,126.95
(6,667,119.50)
($1,197,992.55)
$19,539,279.69
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a FIRST IN, FIRST OUT method for
relieving assets from your position
64,421,783.21
(56,027,254.00)
$8,394,529.21
-($7,357.75)
$200,376.13
(7,357.75)
Period
Value
20,544,253.86
200,376.13
Year-To-Date
Value*
-3,050,787.87
5,901,714.87
71,515,144.09
$80,467,646.83
(4,111,383.65)
(19,500.00)
(70,819,413.87)
($74,950,297.52)
Current
Cost
Adjustments
EFTA01539076
Accretion
Amortization
Cost Adjustments
Total Cost Adjustments
($39.32)
Period Value
(39.32)
Year-To-Date
Value*
79,731.70
(39.32)
176,834.93
$256,527.31
Account Page 17 of 24
Consolidated Statement Page 20
EFTA01539077
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Detail - U S Dollar
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/1
11/3
11/9
11/10
11/10
11/15
Interest Income
Misc Disbursement
Accrued Int Recd
Accrued Int Paid
Corporate Interest
Accrued Int Recd
Description
DEPOSIT SWEEP INTEREST FOR OCT. @ .03% RATE ON
NET AVG COLLECTED BALANCE OF $19,831,226.27 AS
OF 11/01/11
LONG TOTAL RETURN SWAP 3,007,792.80 USD
NOTIONAL APPLE INC MAT FEB 03 2012 DEAL 6505432
SWAP RESET PAYMENT (ID: SWPBDH-AY-3)
BANK OF AMERICA CORP 8 1/8% PFD STK DEC 29 2049
DTD 04/30/2008 (ID: 060505-DT-8)
AMERICAN CAPITAL LTD 8.96% DEC 31 2013 DTD
06/28/2010 @ 101.10 JP MORGAN SECURITIES LLC
(BIDL) TRADE DATE 11/07/11 (ID: 02503Y-AF-0)
CIT GROUP INC 144A 7% MAY 02 2016 JUN 15 2011
(ID: 125581-FZ-6)
N TX TOLLWAY AUTH REVENUE SPL PROJS SYS HIGHWAY
IMPS 5% D SEP 01 2030 DTD 11/10/2011 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 09/01/2021 @ 100
(ID: 66285W-JL-1)
11/15
Div Domest
Total Inflows & Outflows
BANK OF AMERICA CORP 8 1/8% PFD STK DEC 29 2049
DTD 04/30/2008 (ID: 060505-DT-8)
2,000,000.000
0.041
81,250.00
$193,018.38
1,000,000.000
0.001
694.44
1,000,000.000
1,000,000.000
0.00
EFTA01539078
5,000,000.000
0.039
0.009
0.018
39,270.83
(8,844.44)
87,500.00
(7,357.75)
Quantity
Cost
Per Unit
Amount
Amount
505.30
Account Page 18 of 24
Consolidated Statement Page 21
EFTA01539079
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
TRADE ACTIVITY
Note:
Trade Date
Settle Date
10/27
11/1
11/4
11/9
11/4
11/9
11/4
11/9
11/8
11/14
11/8
11/14
11/9
11/15
S indicates Short Term Realized Gain/Loss
0 indicates Ordinary Income Realized Gain
* Settled transaction was initiated in prior statement period and settled in
current statement period
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
FIFO
Sale
Low Cost
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
AMERICAN CAPITAL AGENCY CORP @ 27.55745
1,550,106.56 BROKERAGE 2,812.50 TAX &/OR SEC
29.77 J.P. MORGAN SECURITIES LLC
(ID: 02503X-10-5)
BANK OF AMERICA CORP 8 1/8% PFD STK DEC 29 2049
DTD 04/30/2008 @ 92.50 JP MORGAN SECURITIES LLC
(BIDL) (ID: 060505-DT-8)
GROUPON INC @ 29.22181 7,889.89 BROKERAGE
100.00 TAX &/OR SEC .16 J.P. MORGAN SECURITIES
LLC (ID: 399473-10-7)
EFTA01539080
HEALTH CARE REIT INC @ 50.24851 67,835.49
BROKERAGE 100.00 TAX &/OR SEC 1.31 J.P. MORGAN
SECURITIES LLC (ID: 42217K-10-6)
ENERGY TRANSFER PARTNERS L P @ 43.955
118,678.50 BROKERAGE 135.00 TAX &/OR SEC 2.28
J.P. MORGAN SECURITIES LLC (ID: 29273R-10-9)
PIONEER NATURAL RESOURCES CO @ 88.80 119,880.00
BROKERAGE 100.00 TAX &/OR SEC 2.31 J.P. MORGAN
SECURITIES LLC (ID: 723787-10-7)
N TX TOLLWAY AUTH REVENUE SPL PROJS SYS HIGHWAY (1,000,000.000
IMPS 5% D SEP 01 2030 DTD 11/10/2011 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 09/01/2021 @ 100 @
106.285 JP MORGAN SECURITIES LLC (BIDL)
(ID: 66285W-JL-1)
11/9
11/15
Sale
FIFO
IMPERVA INC @ 22.03 24,783.75 BROKERAGE 100.00
TAX &/OR SEC .48 J.P. MORGAN SECURITIES LLC
(ID: 45321L-10-0)
Account Page 19 of 24
Consolidated Statement Page 22
(1,125.000)
21.941
24,683.27
(20,250.00)
4,433.27 S
106.30
1,062,850.00
(1,067,810.68)
(4,960.68) S
(1,350.000)
88.724
119,777.69
(120,150.00)
(372.31) S
(2,700.000)
43.904
118,541.22
(120,609.00)
(2,067.78) S
(1,350.000)
50.173
67,734.18
(67,500.00)
234.18 S
(270.000)
28.851
7,789.73
(5,400.00)
EFTA01539081
2,389.73 S
(1,000,000.000 )
92.50
925,000.00
(857,541.67)
66,830.87 S
627.46 0
Quantity
(56,250.000)
Per Unit
Amount
27.507
Proceeds
1,547,264.29
Tax Cost
(1,552,500.00)
Realized
Gain/Loss
(5,235.71) S*
EFTA01539082
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
11/9
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
11/15
11/10
11/16
11/15
11/18
11/16
11/21
11/16
11/21
11/17
11/22
11/17
11/22
11/17
11/22
11/18
11/23
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
PLAINS ALL AMERICAN PIPELINE L P UNIT OF
LIMITED PARTNERSHIP INT @ 63.885 127,770.00
BROKERAGE 100.00 TAX &/OR SEC 2.46 J.P. MORGAN
SECURITIES LLC (ID: 726503-10-5)
OCWEN FINANCIAL CORP @ 13.04714 469,697.04
BROKERAGE 1,800.00 TAX &/OR SEC 9.02 J.P.
MORGAN SECURITIES LLC (ID: 675746-30-9)
PENN VIRGINIA RESOURCE PARTNERS L P @ 23.75
EFTA01539083
53,437.50 BROKERAGE 112.50 TAX &/OR SEC 1.03
J.P. MORGAN SECURITIES LLC (ID: 707884-10-2)
APPROACH RESOURCES INC @ 28.77456 116,536.97
BROKERAGE 202.50 TAX &/OR SEC 2.24 J.P. MORGAN
SECURITIES LLC (ID: 03834A-10-3)
IDENIX PHARMACEUTICALS INC @ 7.02248 23,700.87
BROKERAGE 168.75 TAX &/OR SEC .46 J.P. MORGAN
SECURITIES LLC (ID: 45166R-20-4)
DELPHI AUTOMATIVE PLC @ 21.75295 185,987.72
BROKERAGE 427.50 TAX &/OR SEC 3.58 J.P. MORGAN
SECURITIES LLC (ID: G27823-10-6)
DUNKIN BRANDS GROUP INC @ 25.51934 252,641.47
BROKERAGE 495.00 TAX &/OR SEC 4.86 J.P. MORGAN
SECURITIES LLC (ID: 265504-10-0)
LINKEDIN CORP - A @ 73.70 73,700.00 BROKERAGE
100.00 TAX &/OR SEC 1.42 J.P. MORGAN SECURITIES
LLC (ID: 53578A-10-8)
INTERMOLECULAR INC @ 9.57668 64,642.59
BROKERAGE 337.50 TAX &/OR SEC 1.25 J.P. MORGAN
SECURITIES LLC (ID: 45882D-10-9)
(6,750.000)
9.526
64,303.84
(67,500.00)
(3,196.16) S
(1,000.000)
73.599
73,598.58
(71,000.00)
2,598.58 S
(9,900.000)
25.469
252,141.61
(253,638.00)
(1,496.39) S
(8,550.000)
21.703
185,556.64
(188,100.00)
(2,543.36) S
(3,375.000)
6.972
23,531.66
(21,937.50)
1,594.16 S
(4,050.000)
28.724
116,332.23
(113,400.00)
2,932.23 S
(2,250.000)
EFTA01539084
23.70
53,323.97
(55,237.50)
(1,913.53) S
(36,000.000)
12.997
467,888.02
(468,000.00)
(111.98) S
Quantity
(2,000.000)
Per Unit
Amount
63.834
Proceeds
127,667.54
Tax Cost
(130,060.00)
Realized
Gain/Loss
(2,392.46) S
Account Page 20 of 24
Consolidated Statement Page 23
EFTA01539085
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
11/18
11/23
11/18
11/23
11/22
11/28
11/16
11/30
Type
Selection Method Description
Settled Sales/Maturities/Redemptions
Sale
FIFO
Sale
FIFO
Sale
FIFO
Sale
FIFO
MANNING & NAPIER INC @ 12.11 24,522.75
BROKERAGE 101.25 TAX &/OR SEC .48 J.P. MORGAN
SECURITIES LLC (ID: 56382Q-10-2)
MONEYGRAM INTERNATIONAL INC NEW @ 16.10444
21,740.99 BROKERAGE 100.00 TAX &/OR SEC .42
J.P. MORGAN SECURITIES LLC (ID: 60935Y-20-8)
FUSION-I0 INC @ 32.72282 161,977.96 BROKERAGE
247.50 TAX &/OR SEC 3.11 J.P. MORGAN SECURITIES
LLC (ID: 36112)-10-7)
CLOVIS ONCOLOGY INC @ 13.03 23,454.00 BROKERAGE
100.00 TAX &/OR SEC .46 J.P. MORGAN SECURITIES
LLC (ID: 189464-10-0)
Total Settled Sales/Maturities/Redemptions
$5,469,126.95
($5,413,621.85)
$54,877.64 S
$627.46 0
(1,800.000)
12.974
23,353.54
(23,400.00)
(46.46) S
(4,950.000)
32.672
161,727.35
(163,350.00)
(1,622.65) S
(1,350.000)
EFTA01539086
16.03
21,640.57
(21,937.50)
(296.93) S
Quantity
(2,025.000)
Per Unit
Amount
12.06
Proceeds
24,421.02
Tax Cost
(24,300.00)
Realized
Gain/Loss
121.02 S
Trade Date
Settle Date
Type
Description
Settled Securities Purchased
10/26
Purchase
11/1
10/26
11/2
11/3
11/9
Purchase
AMERICAN CAPITAL AGENCY CORP @ 27.60 J.P.
MORGAN SECURITIES LLC (ID: 02503X-10-5)
HSBC MARKET PLUS MXN NOTE 11/2/12 LNKED TO MXN
VS USD 25% BUFFER, 9.75%CPN, 100%MAXRTN
10/26/11 @ 100.00 JP MORGAN SECURITIES LLC
(BIDL) (ID: 4042K1-RA-3)
Purchase
GROUPON INC @ 20.00 J.P. MORGAN SECURITIES LLC
(ID: 399473-10-7)
270.000
20.00
(5,400.00)
Account Page 21 of 24
Consolidated Statement Page 24
Quantity
56,250.000
1,000,000.000
Per Unit
Amount
27.60
100.00
Market Cost
EFTA01539087
(1,552,500.00)
(1,000,000.00)
*
*
EFTA01539088
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
Type
Settled Securities Purchased
11/4
Purchase
11/9
11/3
11/10
Purchase
Description
HEALTH CARE REIT INC @ 50.00 J.P. MORGAN
SECURITIES LLC (ID: 42217K-10-6)
N TX TOLLWAY AUTH REVENUE SPL PROJS SYS HIGHWAY
IMPS 5% D SEP 01 2030 DTD 11/10/2011 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 09/01/2021 @ 100 @
106.785 JP MORGAN SECURITIES LLC (BIDL)
(ID: 66285W-JL-1)
11/7
11/10
11/9
11/14
11/8
11/14
11/8
11/14
11/9
11/15
11/9
11/15
11/10
11/16
11/15
11/18
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
AMERICAN CAPITAL LTD 8.96% DEC 31 2013 DTD
06/28/2010 @ 101.10 JP MORGAN SECURITIES LLC
(BIDL) (ID: 02503Y-AF-0)
Purchase Option EUR PUT USD CALL FX EUROPEAN STYLE OPTION DEC
12, 2011 @ 1.35 KO @ 1.2775 PURCHASED FX OPTION
PUT 14,814,814.81 EUR CALL 20,000,000.00 USD
(ID: XEURPB-SD-Z)
ENERGY TRANSFER PARTNERS L P @ 44.67 J.P.
EFTA01539089
MORGAN SECURITIES LLC (ID: 29273R-10-9)
PIONEER NATURAL RESOURCES CO @ 89.00 J.P.
MORGAN SECURITIES LLC (ID: 723787-10-7)
IMPERVA INC @ 18.00 J.P. MORGAN SECURITIES LLC
(ID: 45321L-10-0)
PLAINS ALL AMERICAN PIPELINE L P UNIT OF
LIMITED PARTNERSHIP INT @ 65.03 J.P. MORGAN
SECURITIES LLC (ID: 726503-10-5)
OCWEN FINANCIAL CORP @ 13.00 J.P. MORGAN
SECURITIES LLC (ID: 675746-30-9)
PENN VIRGINIA RESOURCE PARTNERS L P @ 24.55
J.P. MORGAN SECURITIES LLC (ID: 707884-10-2)
36,000.000
2,250.000
13.00
24.55
(468,000.00)
(55,237.50)
2,700.000
1,350.000
1,125.000
2,000.000
44.67
89.00
18.00
65.03
(120,609.00)
(120,150.00)
(20,250.00)
(130,060.00)
14,814,814.810
0.007
(100,000.00)
1,000,000.000
101.10
(1,011,000.00)
Quantity
1,350.000
1,000,000.000
Per Unit
Amount
50.00
106.80
Market Cost
(67,500.00)
(1,067,850.00)
Account Page 22 of 24
Consolidated Statement Page 25
EFTA01539090
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Settle Date
Type
Settled Securities Purchased
11/16
Purchase
11/21
11/16
11/21
11/17
11/22
11/17
11/22
11/16
11/22
11/17
11/23
11/17
11/23
11/17
11/23
11/22
11/28
11/16
11/30
Total Settled Securities Purchased
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Purchase
Description
APPROACH RESOURCES INC @ 28.00 J.P. MORGAN
SECURITIES LLC (ID: 03834A-10-3)
IDENIX PHARMACEUTICALS INC @ 6.50 J.P. MORGAN
SECURITIES LLC (ID: 45166R-20-4)
DELPHI AUTOMATIVE PLC @ 22.00 J.P. MORGAN
SECURITIES LLC (ID: G27823-10-6)
DUNKIN BRANDS GROUP INC @ 25.62 J.P. MORGAN
SECURITIES LLC (ID: 265504-10-0)
LINKEDIN CORP - A @ 71.00 J.P. MORGAN
SECURITIES LLC (ID: 53578A-10-8)
INTERMOLECULAR INC @ 10.00 J.P. MORGAN
SECURITIES LLC (ID: 45882D-10-9)
MANNING & NAPIER INC @ 12.00 J.P. MORGAN
EFTA01539091
SECURITIES LLC (ID: 56382Q-10-2)
MONEYGRAM INTERNATIONAL INC NEW @ 16.25 J.P.
MORGAN SECURITIES LLC (ID: 60935Y-20-8)
FUSION-I0 INC @ 33.00 J.P. MORGAN SECURITIES
LLC (ID: 36112)-10-7)
CLOVIS ONCOLOGY INC @ 13.00 J.P. MORGAN
SECURITIES LLC (ID: 189464-10-0)
Quantity
4,050.000
3,375.000
8,550.000
9,900.000
1,000.000
6,750.000
2,025.000
1,350.000
4,950.000
1,800.000
Per Unit
Amount
28.00
6.50
22.00
25.62
71.00
10.00
12.00
16.25
33.00
13.00
Market Cost
(113,400.00)
(21,937.50)
(188,100.00)
(253,638.00)
(71,000.00)
(67,500.00)
(24,300.00)
(21,937.50)
(163,350.00)
(23,400.00)
($6,667,119.50)
Account Page 23 of 24
Consolidated Statement Page 26
EFTA01539092
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Trade Date
Type
Est. Settle Date Selection Method Description
Pending Sales, Maturities, Redemptions
Sale
7/13
12/2
CORN LONG FORWARD CONTRACT 2,041,825.00 USD
NOTIONAL 67.00 NOTIONAL CONTRACTS (335K BSH)
6.095 FORWARD RATE 12/02/2011 MATURITY DEAL
40996151 (ID: CFCONT-GJ-3)
Quantity
(1.000)
Per Unit
Amount
Proceeds
232,825.00
Tax Cost
Realized
Gain/Loss
232,825.00 S
COST ADJUSTMENTS
Settle Date
11/15
Type
Amortization
Description
N TX TOLLWAY AUTH REVENUE SPL PROJS SYS HIGHWAY
IMPS 5% D SEP 01 2030 DTD 11/10/2011 HELD BY
DTC BOOK ENTRY ONLY PAR CALL 09/01/2021 @ 100
MUNICIPAL BOND PREMIUM AMORTIZATIO
(ID: 66285W-JL-1)
Quantity
1,000,000.000
Cost Basis
Adjustments
(39.32)
Account Page 24 of 24
Consolidated Statement Page 27
EFTA01539093
J.P. Morgan Securities LLC
FINANCIAL TRUST COMPANY INC
383 Madison Avenue, New York, NY 10179
ACCT.
For the Period 11/1/11 to 11/30/11
Margin Account
J.P. Morgan Team
Paul Morris
Paul Barrett
Janet Young
Gina Magliocco
Online access
Banker
Investment Specialist
Client Service Team
Client Service Team
www.MorganOnline.com
Transactions cleared and carried through J.P. Morgan Clearing Corp. Three
Chase Metrotech Center, Brooklyn, NY 11245-0001,
(347) 643-2578
Please see disclosures located at the end of this statement package for
important information relating to each J.P.Morgan account(s).
Table of Contents
Account Summary
Holdings
Equity
Cash & Fixed Income
Portfolio Activity
Page
2
4
5
7
Account Page 1 of 8
Consolidated Statement Page 28
EFTA01539094
FINANCIAL TRUST COMPANY INC
Account Summary
MARGIN
Cash
Asset Allocation
Equity
Cash & Fixed Income
Market Value
Market Value
0.00
0.00
$0.00
Margin
Market Value
0.00
300,118.86
$300,118.86
Current
Portfolio Activity
Beginning Market Value
Contributions
Withdrawals & Fees
Securities Transferred In
Securities Transferred Out
Net Contributions/Withdrawals
Income & Distributions
Change In Investment Value
Ending Market Value
($35.00)
(1,580.16)
3,930.00
$297,493.86
(35.00)
Period Value
295,179.02
Short
Market Value
(28,125.00)
25,500.00
($2,625.00)
Year-to-Date
Value
5,750,323.03
598,320.00
(5,935,617.95)
11,788,000.00
(11,786,500.00)
($5,335,797.95)
(1,580.16)
(115,451.06)
$297,493.86
EFTA01539095
Total
(28,125.00)
325,618.86
Estimated
Current
Market Value Annual Income Allocation
(2,568.00)
$297,493.86
($2,568.00)
100%
100%
ACCT.
For the Period 11/1/11 to 11/30/11
Account Page 2 of 8
Consolidated Statement Page 29
EFTA01539096
FINANCIAL TRUST COMPANY INC
Account Summary
Tax Summary
Foreign Dividends
Taxable Income
CONTINUED
Current
Period Value
(1,580.16)
($1,580.16)
Year-to-Date
Value
(1,580.16)
($1,580.16)
ST Realized Gain/Loss
Realized Gain/Loss
Current
Period Value
Year-to-Date
Value
603,844.31
$603,844.31
ACCT.
For the Period 11/1/11 to 11/30/11
Unrealized Gain/Loss
To-Date Value
$1,954.63
Cost Summary
Equity
Cash & Fixed Income
Total
325,618.86
Cost
$295,539.23
(30,079.63)
Investment Objectives
Speculation Permitted
Capital Appreciation
Yes
Yes
Account Page 3 of 8
Consolidated Statement Page 30
EFTA01539097
FINANCIAL TRUST COMPANY INC
Equity Summary
Asset Categories
Non-US Equity
Beginning
Market Value
(32,055.00)
Ending
Market Value
(28,125.00)
Change
In Value
3,930.00
Current
Allocation
ACCT.
For the Period 11/1/11 to 11/30/11
Current
Market Value/Cost
Market Value
Tax Cost
Unrealized Gain/Loss
Estimated Annual Income
Equity Detail
Price
Non-US Equity
TELEFONICA S A
SPONS ADR
879382-20-8 TEF
Quantity
Account
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Inc.
Accrued Div.
Yield
Period Value
(28,125.00)
(30,079.63)
1,954.63
(2,568.00)
18.75
(1,500.000)
Short
(28,125.00)
(30,079.63)
1,954.63
(2,568.00)
EFTA01539098
9.13%
Account Page 4 of 8
Consolidated Statement Page 31
EFTA01539099
FINANCIAL TRUST COMPANY INC
Cash & Fixed Income Summary
Beginning
Asset Categories
Cash
Market Value
327,234.02
ACCT.
For the Period 11/1/11 to 11/30/11
Ending
Market Value
325,618.86
Change
In Value
(1,615.16)
Current
Allocation
100%
Current
Market Value/Cost
Market Value
Tax Cost
SUMMARY BY MATURITY
1
Cash & Fixed Income
0-6 months
1
Period Value
325,618.86
325,618.86
SUMMARY BY TYPE
Market
Value
325,618.86
% of Bond
Portfolio
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
Market
Value
325,618.86
% of Bond
Portfolio
100%
Account Page 5 of 8
Consolidated Statement Page 32
EFTA01539100
EFTA01539101
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Cash & Fixed Income Detail
Quantity
Price
Cash
US DOLLAR
US DOLLAR
Total Cash
1.00
1.00
300,118.86
Margin
25,500.00
Short
300,118.86
25,500.00
$325,618.86
300,118.86
25,500.00
$325,618.86
$0.00
$0.00
0.00%
Account
Value
Adjusted Tax Cost
Original Cost
Unrealized
Gain/Loss
Est. Annual Income
Accrued Interest
Yield
Account Page 6 of 8
Consolidated Statement Page 33
EFTA01539102
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Summary
Beginning Cash Balance
Transactions
Income
INFLOWS
(1,580.16)
Contributions
Total Inflows
OUTFLOWS **
Withdrawals
Short Fees Charged
Total Outflows
TRADE ACTIVITY
Settled Sales/Maturities/Redemptions
Settled Securities Purchased
Option Premium Offset
Total Trade Activity
Ending Cash Balance
$0.00
$325,618.86
* Year to date information is calculated on a calendar year basis.
** Your account's standing instructions use a FIRST IN, FIRST OUT method for
relieving assets from your position
5,690,679.04
(56,110.11)
(644.99)
$5,633,923.94
-(35.00)
($35.00)
($1,580.16)
(1,580.16)
598,320.00
$596,739.84
(5,935,573.03)
(44.92)
($5,935,617.95)
Current
Period
Value
327,234.02
Year-To-Date
Value*
-Account
Page 7 of 8
Consolidated Statement Page 34
EFTA01539103
FINANCIAL TRUST COMPANY INC ACCT.
For the Period 11/1/11 to 11/30/11
Portfolio Activity Detail
INFLOWS & OUTFLOWS
Type
Settle Date Selection Method
11/7
11/7
11/14
11/15
11/16
11/21
11/28
11/28
Description
Mark to Market Adj MARK TO MARKET SUB-ACCOUNT: MGN
Mark to Market Adj MARK TO MARKET SHORT POS SUB-ACCOUNT: SHT
TELEFONICA S A SPONS ADR DIV CHG 1500 SHS SHORT
Foreign Dividend
SUB-ACCOUNT: SHT (ID: 879382-20-8)
Foreign Dividend
Foreign Dividend
Misc Debit
TELEFONICA S A SPONS ADR RD 11/04 PD 11/14 RT
1.0592 SUB-ACCOUNT: SHT (ID: 879382-20-8)
TELEFONICA S A SPONS ADR RD 11/04 PD 11/16 RT
1.0534 SUB-ACCOUNT: SHT (ID: 879382-20-8)
SHORT DEBIT FEE 10/21-11/20 SUB-ACCOUNT: MGN
Mark to Market Adj MARK TO MARKET SUB-ACCOUNT: MGN
Mark to Market Adj MARK TO MARKET SHORT POS SUB-ACCOUNT: SHT
Total Inflows & Outflows
2,158.13
(1,580.16)
(35.00)
2,484.84
(2,484.84)
($1,615.16)
Quantity
Cost
Per Unit
Amount
Amount
3,945.00
(3,945.00)
(2,158.13)
Account Page 8 of 8
Consolidated Statement Page 35
EFTA01539104
For the Period 11/1/11 to 11/30/11
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.
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
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.
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. 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 should not be relied
on as the price at which ARS would trade.
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. Such values may only be
indicative.
Valuations of over-the-counter derivative transactions, including certain
EFTA01539105
derivatives-related deposit products, have been prepared on a mid-market
basis. 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.
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
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).
Disclosures Page 1 of 4
EFTA01539106
For the Period 11/1/11 to 11/30/11
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 APPLIC
ℹ️ Document Details
SHA-256
e85d17c9372dc277b9eadb0b642d5177bebbc997157e3a4f04f4073f2c8fa84c
Bates Number
EFTA01539038
Dataset
DataSet-10
Document Type
document
Pages
75
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