EFTA01567550.pdf

SCHAFER CULLEN CAPITAL MANAGEMENT ATTN CAROLYN ROY 645 FIFTH AVENUE FL 7 NEW YORK NY 10022 EFTA01567550 EFTA01567551 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD 270 New York, NY 10017-2014 ACCT For the Period 3/1/14 to 3/31/14 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relati ng to each J.P.Morgan account(s). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 3 4 0000002363.00.0.PD.00003.SCHAOAP.20140402 Page 1 of 7 EFTA01567552 GHISLAINE MAXWELL - OAP IHD ACCT For the Period 3/1/14 to 3/31/14 Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 137,528.10 $137,528.10 12,566.34 $150,094.44 Ending Market Value 0.00 $0.00 1,937.95 $1,937.95 Change In Value (137,528.10) ($137,528.10) (10,628.39) ($148,156.49) Estimated $0.00 Current Annual Income Allocation 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 Tax Summary Foreign Dividends Interest Income Taxable Income Period Value 137,528.10 (27,808.73) (116,979.42) ($144,788.15) 11,036.97 (3,776.92) $0.00 1,937.95 $1,937.95 Current Period Value 11,036.97 $11,036.97 Year-to-Date Value 1,964,165.75 (90,060.72) 42,152.23 (1,939,755.05) ($1,987,663.54) 41,504.64 (18,006.85) $0.00 1,937.95 $1,937.95 Year-to-Date Value 41,500.67 3.97 $41,504.64 ST Realized Gain/Loss LT Realized Gain/Loss EFTA01567553 Realized Gain/Loss Current Period Value 4.47 $4.47 Year-to-Date Value 9,772.82 1,562.35 $11,335.17 Page 2 of 7 EFTA01567554 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 3/1/14 to 3/31/14 Equity Summary Asset Categories EAFE Equity Equity Detail Price EAFE Equity GLAXOSMITHKLINE PLC SPONS ADR 37733W-10-5 GSK KIRIN HOLDINGS COMPANY LTD SPONS ADR 497350-30-6 KNBW RECKITT BENCKISER GROUP PLC SPONSORED ADR 756255-20-4 RBGL Total EAFE Equity 16.48 $0.00 0.00 776.95 $0.00 $0.00 $0.00 $1,937.95 0.00% 2.57% 13.85 0.00 476.23 2.00% 53.43 0.00 684.77 4.62% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Beginning Market Value 137,528.10 Ending Market Value 0.00 Change In Value (137,528.10) Current Allocation Page 3 of 7 EFTA01567555 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 3/1/14 to 3/31/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Withdrawals Fees s Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 4.47 $4.47 $0.00 * 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 97,192.23 (103,712.32) ($6,520.09) -Current Period Value 16,767.29 11,036.97 $11,036.97 (27,719.39) (89.34) ($27,808.73) Year-To-Date Value* -41,504.64 $41,504.64 (80,391.44) (8,781.61) (887.67) ($90,060.72) Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value (116,979.42) Year-To-Date Value* 42,152.23 (1,939,755.05) Page 4 of 7 EFTA01567556 GHISLAINE MAXWELL - OAP IHD ACCT - For the Period 3/1/14 to 3/31/14 Portfolio Activity Detail INFLOWS a OUTFLOWS Type Settle Date Selection Method Income 3/4 3/12 3/24 3/27 Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Total Income Type Settle Date Selection Method Withdrawals 3/10 3/17 3/20 3/31 Misc Disbursement Misc Disbursement Expenses Misc Disbursement Total Withdrawals Description TRANSFER TO UBS FINANCIAL SERVICES INC. TRANSFER TO CMS FINANCIAL SERVICES INC. DEUTSCHE POST AG SPONS ADR ADR FEE TO HOLDERS OF RECORD DATE 12/06/13 AS OF 03/13/14 (ID: 25157Y-20-2) TRANSFER TO EMS FINANCIAL SERVICES INC. (1,033.35) ($27,719.39) Quantity Cost Description VODAFONE GROUP PLC SPONS ADR @ 4.928005 PER SHARE (ID: 92857W-20-9) UNILEVER N V @ 0.365412 PER SHARE (ID: 904784-70-9) ASTRAZENECA PLC SPONS ADR @ 1.90 PER SHARE (ID: 046353-10-8) ROYAL DUTCH SHELL PLC ADR @ 0.90 PER SHARE (ID: 780259-10-7) Quantity Cost 1,905.000 1,630.000 365.000 400.000 Per Unit Amount 4.928 0.365 1.90 0.90 Amount 9,387.85 595.62 693.50 360.00 $11,036.97 Amount (26,158.81) (507.08) (20.15) Page 5 of 7 EFTA01567557 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 3/1/14 to 3/31/14 Type Settle Date Selection Method Tax Payments 3/12 FGN Tax Withheld Description UNILEVER N V TAX WITHHELD NETHERLANDS 15.00% (ID: 904784-70-9) SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred Out 3/10 Free Delivery 3/10 3/10 Free Delivery Free Delivery Total Securities Transferred Out Description VERIZON COMMUNICATIONS INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 03/07/14 (ID: 92343V-10-4) ROCHE HOLDINGS LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 03/07/14 (ID: 771195-10-4) VODAFONE GROUP PLC-SP ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 03/07/14 (ID: 92857W-30-8) ($116,979.42) (1,039.000) 53,061.37 (41,487.27) (1,400.000) 39,379.81 (51,870.00) Quantity Cost Amount (89.34) * Transaction Market Value is representative of the prior trading day's market value. This is for in formational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Quantity Cost (501.000) 23,477.65 Transaction Market Value * (23,622.15) Page 6 of 7 EFTA01567558 GHISLAINE MAXWELL - OAP IHD ACC For the Period 3/1/14 to 3/31/14 TRADE ACTIVITY Note: Trade Date Settle Date 3/6 3/6 L indicates Long Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Cash In Lieu 3/12 3/12 Cash In Lieu VODAFONE GROUP PLC-SP ADR CASH IN LIEU OF FRACTIONAL SHARES (ID: 92857W-30-8) VERIZON COMMUNICATIONS INC CASH IN LIEU OF FRACTIONAL SHARES. (ID: 92343V-10-4) Total Settled Sales/Maturities/Redemptions Quantity 0.090 Per Unit Amount 40.778 Proceeds 3.67 0.80 $4.47 $0.00 Tax Cost Realized Gain/Loss 3.67 L 0.80 L $4.47 L Page 7 of 7 EFTA01567559 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567560 For the Period 3/1/14 to 3/31/14 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in o ne 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 b and 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 provi ded for structured yield deposits (for example, JPMorgan London Time Deposits) reflect the original deposit amount only. The value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically in an auction. Although there may be daily, wee kly 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 t he 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 sho uld not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. M organ is unable to obtain a price from an internal or outside source for a particular ARS, the price column on your statement will indicate "unpriced". Valuations of over-the-counter derivative transactions, including certain derivatives-related deposi t products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. J.P. Morgan exp ressly 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 us es 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 transac tion. Certain assets, including but not limited to, pooled and private investments, non-publicly traded an d infrequently traded securities, derivatives, partnership interests and tangible assets are general ly illiquid, the value of such asset may have been provided to us by third parties who may or may not b e independent of the issuer or manager. Such information is reflected as of the last date provided t 0 us, and is not independently verified. In cases where we are unable to obtain a current market value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". Although such securities may have value, please note that the value of a security indicated as "unpriced" will not be included in your overall current market value as reflected on the statement. J.P. Morgan makes no representation, warranty or guarantee, express or implied, that any quoted valu e represents the actual terms at which securities could be bought or sold or new transactions could be entered into, or the actual terms on which existing transactions or securities could be liquidate d. Such values may only be indicative. When we are unable to obtain a current value from an internal or outside source for a particular sec urity, the price column on your statement will indicate "unpriced". If a partial call is made with respect to an issue of securities included in your Accounts we will a 'locate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and esti mated 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 act ual income and yield might be lower or higher than the estimated amounts. EY reflects only the income generated by an investment. It does not reflect changes in its price, which may fluctuate. Offshore Deposits - London and Nassau Disclosures Page 1 of 2 EFTA01567561 For the Period 3/1/14 to 3/31/14 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Governme nt; 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 Intern al Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking a ffiliates. 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 affil iates. 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. Morg an 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 reli ed 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 b e 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.Mo rgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFL ECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to JPMCB at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights. If you have any questions please contact your J.P. Morgan team. In your written communication, please provide the following information: (1) your name and account n umber; (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 d escribe the item you are unsure about. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. You must promptly advise your J.P.Morgan representative of material changes in your investment objec tives or financial situation or if you wish to modify the management of your account. Unless you inform otherwise, your J.P.MOrgan representative will consider the information currently in its file s to be complete and accurate. Disclosures Page 2 of 2 EFTA01567562