EFTA01566056.pdf

SCHAFER CULLEN CAPITAL MANAGEMENT ATTN CAROLYN ROY 645 FIFTH AVENUE FL 7 NEW YORK NY 10022 EFTA01566056 EFTA01566057 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 0000001512.00.0.PD.00003.SCHAOAP.20130802 Page 1 of 19 EFTA01566058 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,474,647.52 $1,474,647.52 6,227.02 $1,480,874.54 Ending Market Value 1,779,758.70 $1,779,758.70 3,867.54 $1,783,626.24 Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 1,474,647.52 250,000.00 (5,003.44) $244,996.56 7,388.22 52,726.40 $1,779,758.70 3,867.54 $1,783,626.24 Change In Value 305,111.18 $305,111.18 (2,359.48) $302,751.70 Year-to-Date Value 0.00 1,750,000.00 EFTA01566059 (10,089.84) $1,739,910.16 32,947.58 6,900.96 $1,779,758.70 3,867.54 $1,783,626.24 Estimated 60,660.21 $60,660.21 Current Annual Income Allocation 100% 100% Page 2 of 19 EFTA01566060 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 7,387.92 0.30 $7,388.22 Year-to-Date Value 32,944.17 3.41 $32,947.58 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (5,621.37) ($5,621.37) Year-to-Date Value (5,909.01) 4.44 ($5,904.57) Unrealized Gain/Loss To-Date Value $12,805.53 Cost Summary Equity Total 1,766,953.17 Cost $1,766,953.17 Page 3 of 19 EFTA01566061 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,474,647.52 Ending Market Value 1,779,758.70 Change In Value 305,111.18 Current Allocation 100% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,779,758.70 1,766,953.17 12,805.53 60,660.21 3,867.54 3.40% Page 4 of 19 EFTA01566062 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Note: indicates position adjusted for Pending Trade Activity. 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 Equity Detail Price EAFE Equity ABB LTD SPONS ADR 000375-20-4 ABB ASTRAZENECA PLC SPONS ADR 046353-10-8 AZN BAE SYSTEMS PLC SPONS ADR 05523R-10-7 BAES Y BAYER A G SPONS ADR 072730-30-2 BAYR Y BHP LTD SPONS ADR 088606-10-8 BHP BOC HONG KONG HOLDINGS LTD SPONS ADR 096813-20-9 BHKL Y BRITISH AMERICAN TOBACCO PLC SPONS ADR 110448-10-7 BTI 106.50 590.000 62,835.00 62,046.30 788.70 2,496.29 3.97% 62.80 780.000 48,980.10 52,468.00 (3,487.90) 2,457.78 5.02% 62.73 435.000 27,287.55 EFTA01566063 32,227.68 (4,940.13) 991.80 3.63% 27.04 115.99 1,735.000 325.000 46,914.40 37,695.78 39,277.38 32,896.77 7,637.02 4,799.01 2,033.42 586.62 4.33% 1.56% 50.72 365.000 18,512.80 18,351.75 161.05 1,022.00 5.52% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 22.04 2,200.000 48,488.00 47,460.92 1,027.08 1,548.80 3.19% Page 5 of 19 EFTA01566064 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Price EAFE Equity DEUTSCHE POST AG SPONS ADR 25157Y-20-2 DPSG Y GDF SUEZ SPONS ADR 36160B-10-5 GDFZ Y GLAXOSMITHKLINE PLC SPONS ADR GSK HSBC HOLDINGS PLC SPONS ADR HBC IMPERIAL TOBACCO PLC ADR 453142-10-1 ITYB Y ISRAEL CHEMICALS LTD ADR ISCH Y KIRIN HOLDINGS COMPANY LTD SPONS ADR 497350-30-6 KNBW Y LUKOIL OAO SPONS ADR MTN GROUP LTD LUKO Y 18.70 SPONS ADR 62474M-10-8 MTNO Y 2,625.000 49,074.38 49,970.21 (895.83) 1,971.37 4.02% 59.02 1,035.000 61,089.84 64,776.50 (3,686.66) 3,160.89 5.17% 14.75 2,175.000 32,087.78 35,337.00 (3,249.22) 578.55 334.19 EFTA01566065 1.80% 7.99 3,750.000 29,973.75 48,666.96 (18,693.21) 2,133.75 7.12% 66.89 515.000 34,447.32 36,270.85 (1,823.53) 1,736.58 506.98 5.04% 56.75 1,145.000 64,978.75 62,810.83 2,167.92 2,633.50 4.05% 50.96 1,015.000 51,724.40 48,412.36 3,312.04 2,407.58 4.65% 27.98 20.94 2,015.000 1,315.000 56,375.67 27,536.10 47,293.82 27,241.29 9,081.85 294.81 1,787.30 1,731.85 3.17% 6.29% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01566066 Accrued Div. Yield Page 6 of 19 EFTA01566067 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Price EAFE Equity MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR MURG Y NESTLE S A SPONS ADR REPSTG REG SH NSRG Y NIPPON TEL & TEL CORP ADR NTT NOVARTIS A G ADR NVS P PETROCHINA CO LTD ADR PTR PROCEEDS FROM PENDING SALES RECKITT BENCKISER GROUP PLC SPONSORED ADR RBGL Y ROCHE HOLDINGS LTD SPONS ADR RHHB Y ROYAL DUTCH SHELL PLC ADR RDS B SANOFI SNY Page 7 of 19 70.87 51.48 580.000 1,195.000 41,104.60 61,518.60 41,070.68 60,068.51 33.92 1,450.09 2,088.00 1,499.72 5.08% 2.44% 61.35 840.000 51,530.64 EFTA01566068 48,247.14 3,283.50 1,364.16 2.65% 1.00 14.19 28,789.150 3,540.000 28,789.15 50,221.98 28,789.15 48,749.99 1,471.99 1,423.08 2.83% 116.58 0.00 466.50 3.46% 25.18 71.61 1,700.000 975.000 42,806.00 69,819.75 44,957.18 68,101.01 (2,151.18) 1,718.74 1,399.10 2,005.57 3.27% 2.87% 67.48 1,055.000 71,192.46 73,413.83 (2,221.37) 1,915.88 2.69% 19.81 2,835.000 56,164.19 53,062.46 3,101.73 1,757.70 3.13% Quantity Value Adjusted Tax Cost Original Cost EFTA01566069 Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01566070 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Price EAFE Equity SIEMENS A G SPONS ADR SI SINGAPORE TELECOMMUNICATIONS LTD ADR SGAP Y SMITHS GROUP PLC SPONSORED ADR SMGZ Y STATOIL ASA SPONS ADR STO TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR TSM TELEKOMUNIKASI IND SPONS ADR TLK TESCO PLC SPONS ADR TSCD Y TOTAL SA SPONS ADR TOT UNILEVER N V UN 40.01 1,630.000 65,216.30 66,467.39 (1,251.09) 1,861.46 2.85% 16.71 53.05 2,225.000 1,070.000 37,168.63 56,763.50 37,696.35 54,046.70 (527.72) 2,716.80 1,430.67 2,743.48 3.85% EFTA01566071 4.83% 45.61 975.000 44,469.75 39,925.27 4,544.48 1,188.52 2.67% 16.98 965.000 16,385.70 17,281.74 (896.04) 386.96 2.36% 21.59 1,450.000 31,305.50 35,974.62 (4,669.12) 1,245.55 3.98% 30.85 21.00 1,765.000 1,685.000 54,448.49 35,379.95 51,172.92 33,034.06 3,275.57 2,345.89 2,296.26 997.52 4.22% 2.82% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 110.46 500.000 55,230.00 52,917.17 2,312.83 1,471.00 EFTA01566072 2.66% Page 8 of 19 EFTA01566073 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Price EAFE Equity UNITED OVERSEAS BANK LTD SPONS ADR UOVE Y US DOLLAR VODAFONE GROUP PLC SPONS ADR VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity ZURV Y $1,779,758.70 $1,766,953.17 $12,805.53 $60,660.21 $3,867.54 3.41% 26.81 2,025.000 54,288.23 55,630.28 (1,342.05) 33.69 1.00 29.95 1,590.000 31,319.170 2,440.000 53,568.69 31,319.17 73,065.80 50,517.66 31,319.17 69,001.27 4,064.53 3,051.03 519.93 3.13 0.81 3,784.44 2,559.06 0.97% 0.01% 5.18% Quantity Value Adjusted Tax Cost Original Cost EFTA01566074 Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 9 of 19 EFTA01566075 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Withdrawals Fees & Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 8,910.72 (281,030.32) ($272,119.60) $31,319.17 * 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 46,275.45 (1,787,814.02) ($1,741,538.57) -Current Period Value 51,053.99 7,388.22 250,000.00 $257,388.22 (171.15) (4,150.11) (682.18) ($5,003.44) Year-To-Date Value* -32,947.58 1,750,000.00 $1,782,947.58 (595.41) (6,121.75) (3,372.68) ($10,089.84) Current EFTA01566076 Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* 1,652.99 $1,652.99 Page 10 of 19 EFTA01566077 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 7/1 7/2 7/3 7/5 7/9 7/11 7/12 7/16 7/18 7/25 Interest Income Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Description DEPOSIT SWEEP INTEREST FOR 06/01/13 - 06/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $48,264.45 AS OF 07/01/13 TELEKOMUNIKASI IND SPONS ADR @ 1.466793 PER SHARE (ID: ) TELEKOMUNIKASI IND SPONS ADR @ 0.26669 PER SHARE (ID: ) ISRAEL CHEMICALS LTD ADR @ 0.1684 PER SHARE (ID: ) COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD @ 0.321396 PER SHARE AS OF 07/05/13 (ID: ) GLAXOSMITHKLINE PLC SPONS ADR @ 0.550224 PER SHARE (ID: ) HSBC HOLDINGS PLC SPONS ADR @ 0.50 PER SHARE AS OF 07/11/13 (ID: ) TESCO PLC SPONS ADR @ 0.4551 PER SHARE AS OF 07/12/13 (ID: ) TOTAL SA SPONS ADR @ 0.76583 PER SHARE (ID: ) COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD @ 0.130981 PER SHARE (ID: ) EFTA01566078 895.000 1,000.000 1,800.000 970.000 890.000 0.55 0.50 0.455 0.766 0.131 492.45 500.00 819.18 742.86 116.57 780.000 780.000 3,750.000 890.000 1.467 0.267 0.168 0.321 1,144.10 208.02 631.50 286.04 Quantity Cost Per Unit Amount Amount 0.30 Page 11 of 19 EFTA01566079 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Type Settle Date Selection Method Income 7/26 Foreign Dividend Description SIEMENS A G SPONS ADR SALE OF ASSETS - HOLDERS RECEIVE $3.0560 GROSS RATE LESS ADR FEE OF $0.05 FOR EACH SPONSORED ADR HELD. AS OF 07/25/13 (ID: ) 7/30 7/31 Foreign Dividend Foreign Dividend Total Income Type Settle Date Selection Method Contributions 7/11 Misc Receipt Description PHONE INSTRUCTIONS FROM CLIENT FROM TO Quantity Cost TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR @ 0.501082 PER SHARE AS OF 07/29/13 (ID: ) PETROCHINA CO LTD ADR @ 2.115642 PER SHARE AS OF 07/29/13 (ID: ) 245.000 2.116 518.33 $7,388.22 800.000 0.501 400.87 Quantity Cost 500.000 Per Unit Amount 3.056 Amount 1,528.00 Amount 250,000.00 Type Settle Date Selection Method EFTA01566080 Withdrawals 7/2 7/3 Expenses Expenses Description TELEKOMUNIKASI IND SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: ) TELEKOMUNIKASI IND SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: ) Quantity Cost Amount (15.60) (15.60) Page 12 of 19 EFTA01566081 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Type Settle Date Selection Method Withdrawals 7/5 7/9 7/16 7/26 Expenses Expenses Expenses Expenses Description ISRAEL CHEMICALS LTD ADR REPRESENTS @ .015 DEPOSITORY FEE (ID: ) COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD REPRESENTS @ .020 DEPOSITORY FEE AS OF 07/05/13 (ID: ) TESCO PLC SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE AS OF 07/12/13 (ID: ) SIEMENS A G SPONS ADR $0.05 ADR FEE FOR EACH SPONSORED ADR RESULTING FROM 7/26/2013 SALE OF ASSETS DISTRIBUTION. AS OF 07/25/13 (ID: ) 7/31 Expenses Total Withdrawals Fees & Commissions 7/23 7/23 PETROCHINA CO LTD ADR REPRESENTS @ .020 DEPOSITORY FEE AS OF 07/29/13 (ID: ) (4.90) ($171.15) (36.00) (25.00) Quantity Cost Amount (56.25) (17.80) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 04-01-2013 TO 06-30-2013 (2,669.24) Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT FEE FOR 04-01-2013 TO 06-30-2013 Total Fees & Commissions Tax Payments 7/2 (1,480.87) EFTA01566082 ($4,150.11) FGN Tax Withheld TELEKOMUNIKASI IND SPONS ADR TAX WITHHELD INDONESIA 20.00% (ID: ) (228.82) Page 13 of 19 EFTA01566083 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Type Settle Date Selection Method Tax Payments 7/3 7/5 7/18 7/25 FGN Tax Withheld FGN Tax Withheld FGN Tax Withheld FGN Tax Withheld Description TELEKOMUNIKASI IND SPONS ADR TAX WITHHELD INDONESIA 20.00% (ID: ) ISRAEL CHEMICALS LTD ADR TAX WITHHELD ISRAEL 10.90% (ID: ) TOTAL SA SPONS ADR TAX WITHHELD FRANCE 30.00% (ID: ) SANOFI DUE TO FRENCH TAX CREDITS. THE UNFAVORABLE TAX RATE HAS BEEN REDUCED TO 29.348267 FROM 30%. RELATED TO DIVIDEND PAYMENT ON 06/05/2013 (ID: ) 7/30 7/31 FGN Tax Withheld FGN Tax Withheld Total Tax Payments TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR TAX WITHHELD TAIWAN 20.00% AS OF 07/29/13 (ID: ) PETROCHINA CO LTD ADR TAX WITHHELD CHINA 10.00% AS OF 07/29/13 (ID: ) (51.83) ($682.18) (80.17) Quantity Cost Amount (41.60) (68.52) (222.86) 11.62 Page 14 of 19 EFTA01566084 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 TRADE ACTIVITY Note: Trade Date Settle Date 7/8 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 7/11 7/9 7/12 High Cost Sale High Cost COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD @ 8.9563 4,908.05 BROKERAGE 16.44 TAX &/OR SEC .09 ESI SECURITIES COMPANY (ID: ) COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD @ 8.8442 4,032.96 BROKERAGE 13.68 TAX &/OR SEC .08 ESI SECURITIES COMPANY (ID: ) Total Settled Sales/Maturities/Redemptions $8,910.72 ($9,975.21) ($1,064.49) S (456.000) 8.814 4,019.20 (4,530.57) (511.37) S Quantity (548.000) Per Unit Amount 8.926 Proceeds 4,891.52 Tax Cost (5,444.64) Realized Gain/Loss (553.12) S Trade Date Settle Date Type Description EFTA01566085 Settled Securities Purchased 7/12 Purchase 7/17 7/12 7/17 7/12 7/17 7/12 7/17 Purchase Purchase Purchase ABB LTD SPONS ADR @ 22.4047 6,049.27 BROKERAGE 10.80 ESI SECURITIES COMPANY (ID: 000375-20-4) ASTRAZENECA PLC SPONS ADR @ 49.4017 3,458.12 BROKERAGE 2.80 ESI SECURITIES COMPANY (ID: 046353-10-8) BAE SYSTEMS PLC SPONS ADR @ 25.81 2,968.15 BROKERAGE 4.60 ESI SECURITIES COMPANY (ID: 05523R-10-7) BAYER A G SPONS ADR @ 110.5458 3,316.37 BROKERAGE 1.20 ESI SECURITIES COMPANY (ID: 072730-30-2) Page 15 of 19 30.000 110.586 (3,317.57) 115.000 25.85 (2,972.75) Quantity 270.000 70.000 Per Unit Amount 22.445 49.442 Market Cost (6,060.07) (3,460.92) EFTA01566086 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Trade Date Settle Date Type Settled Securities Purchased 7/12 Purchase 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description BHP LTD SPONS ADR @ 60.9627 5,181.83 BROKERAGE 3.40 ESI SECURITIES COMPANY (ID: 088606-10-8) BOC HONG KONG HOLDINGS LTD SPONS ADR @ 62.73 10,036.80 BROKERAGE 6.40 ESI SECURITIES COMPANY (ID: 096813-20-9) BRITISH AMERICAN TOBACCO PLC SPONS ADR @ 105.5044 10,550.44 BROKERAGE 4.00 ESI SECURITIES COMPANY (ID: 110448-10-7) DEUTSCHE POST AG SPONS ADR @ 26.2763 919.67 BROKERAGE 1.40 ESI SECURITIES COMPANY (ID: 25157Y-20-2) GDF SUEZ SPONS ADR @ 20.0639 4,313.74 BROKERAGE 8.60 TAX &/OR SEC 8.63 ESI SECURITIES COMPANY (ID: 36160B-10-5) EFTA01566087 GLAXOSMITHKLINE PLC SPONS ADR @ 52.864 6,343.68 BROKERAGE 4.80 ESI SECURITIES COMPANY (ID: ) HSBC HOLDINGS PLC SPONS ADR @ 54.8648 7,955.40 BROKERAGE 5.80 ESI SECURITIES COMPANY (ID: ) IMPERIAL TOBACCO PLC ADR @ 68.335 5,466.80 BROKERAGE 3.20 ESI SECURITIES COMPANY (ID: 453142-10-1) KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 16.35 5,313.75 BROKERAGE 9.75 ESI SECURITIES COMPANY (ID: 497350-30-6) MTN GROUP LTD SPONS ADR @ 19.1895 7,196.06 BROKERAGE 11.25 ESI SECURITIES COMPANY (ID: 62474M-10-8) Page 16 of 19 375.000 19.219 (7,207.31) 325.000 16.38 (5,323.50) 80.000 68.375 (5,470.00) 145.000 54.905 (7,961.20) 120.000 52.904 (6,348.48) 215.000 20.144 (4,330.97) 35.000 26.316 (921.07) 100.000 105.544 (10,554.44) Quantity 85.000 160.000 Per Unit Amount 61.003 62.77 Market Cost (5,185.23) (10,043.20) EFTA01566088 EFTA01566089 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Trade Date Settle Date Type Settled Securities Purchased 7/12 Purchase 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR @ 19.0293 10,180.68 BROKERAGE 16.05 ESI SECURITIES COMPANY (ID: ) NESTLE S A SPONS ADR REPSTG REG SH @ 67.3775 13,138.61 BROKERAGE 7.80 ESI SECURITIES COMPANY (ID: ) NOVARTIS A G ADR @ 73.4109 10,644.58 BROKERAGE 5.80 ESI SECURITIES COMPANY (ID: ) LUKOIL OAO SPONS ADR @ 60.7725 9,419.74 BROKERAGE 6.20 ESI SECURITIES COMPANY (ID: ) TELEKOMUNIKASI IND SPONS ADR @ 45.9695 8,964.05 BROKERAGE 7.80 ESI SECURITIES COMPANY (ID: ) EFTA01566090 RECKITT BENCKISER GROUP PLC SPONSORED ADR @ 14.3018 6,292.79 BROKERAGE 13.20 ESI SECURITIES COMPANY (ID: ) ROCHE HOLDINGS LTD SPONS ADR @ 64.4191 6,441.91 BROKERAGE 4.00 ESI SECURITIES COMPANY (ID: ) ROYAL DUTCH SHELL PLC ADR @ 69.7441 4,533.37 BROKERAGE 2.60 ESI SECURITIES COMPANY (ID: ) SANOFI @ 52.2799 10,455.98 BROKERAGE 8.00 TAX &/OR SEC 20.92 ESI SECURITIES COMPANY (ID: ) SIEMENS A G SPONS ADR @ 107.2165 5,360.83 BROKERAGE 2.00 ESI SECURITIES COMPANY (ID: ) Page 17 of 19 50.000 107.257 (5,362.83) 200.000 52.425 (10,484.90) 65.000 69.784 (4,535.97) 100.000 64.459 (6,445.91) 440.000 14.332 (6,305.99) 195.000 46.009 (8,971.85) 145.000 155.000 73.451 60.813 (10,650.38) (9,425.94) 195.000 67.417 (13,146.41) Quantity 535.000 Per Unit Amount 19.059 Market Cost (10,196.73) EFTA01566091 EFTA01566092 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Trade Date Settle Date Type Settled Securities Purchased 7/12 Purchase 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 7/12 7/17 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description SINGAPORE TELECOMMUNICATIONS LTD ADR @ 30.5116 8,085.57 BROKERAGE 10.60 ESI SECURITIES COMPANY (ID: ) SMITHS GROUP PLC SPONSORED ADR @ 20.966 1,782.11 BROKERAGE 3.40 ESI SECURITIES COMPANY (ID: ) STATOIL ASA SPONS ADR @ 21.3832 7,056.46 BROKERAGE 13.20 ESI SECURITIES COMPANY (ID: ) TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR @ 18.4048 3,036.79 BROKERAGE 4.95 ESI SECURITIES COMPANY (ID: ) TESCO PLC SPONS ADR @ 15.993 6,797.03 BROKERAGE 12.75 ESI SECURITIES COMPANY (ID: ) EFTA01566093 TOTAL SA SPONS ADR @ 50.3189 5,031.89 BROKERAGE 4.00 TAX WOR SEC 10.07 ESI SECURITIES COMPANY (ID: ) UNILEVER N V @ 41.2319 10,514.13 BROKERAGE 10.20 ESI SECURITIES COMPANY (ID: ) UNITED OVERSEAS BANK LTD SPONS ADR @ 33.14 8,285.00 BROKERAGE 10.00 ESI SECURITIES COMPANY (ID: ) VODAFONE GROUP PLC SPONS ADR @ 29.43 12,949.20 BROKERAGE 17.60 ESI SECURITIES COMPANY (ID: ) ZURICH INSURANCE GROUP-ADR @ 26.6999 7,742.97 BROKERAGE 11.60 ESI SECURITIES COMPANY (ID: ) Page 18 of 19 290.000 26.74 (7,754.57) 440.000 29.47 (12,966.80) 255.000 250.000 41.272 33.18 (10,524.33) (8,295.00) 425.000 100.000 16.023 50.46 (6,809.78) (5,045.96) 165.000 18.435 (3,041.74) 330.000 21.423 (7,069.66) 85.000 21.006 (1,785.51) Quantity 265.000 Per Unit Amount 30.552 Market Cost (8,096.17) EFTA01566094 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 7/1/13 to 7/31/13 Trade Date Settle Date Type Settled Securities Purchased 7/22 Purchase 7/25 Total Settled Securities Purchased Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 7/31 8/5 PETROCHINA CO LTD ADR (ID: ) Quantity (245.000) Per Unit Amount 117.548 Description NIPPON TEL & TEL CORP ADR @ 26.4154 44,906.18 BROKERAGE 51.00 ESI SECURITIES COMPANY (ID: ) ($281,030.32) Proceeds 28,789.15 Tax Cost (33,346.03) Realized Gain/Loss (4,556.88) S Quantity 1,700.000 Per Unit Amount 26.445 Market Cost (44,957.18) Page 19 of 19 EFTA01566095 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566096 For the Period 7/1/13 to 7/31/13 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in one package. Below are important disclosures relating to these different accounts. These statements may relate to various account types. Some of the disclosures are applicable to all of your accounts. For ease of reference the disclosures applicable to a particular type of account have been grouped together by descriptive headers. IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S) Important Information about Pricing ,Valuations, Estimated Annual Income, and Estimated Yield Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein, some of which has been provided by pricing sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy but provided for informational purposes and is furnished for the exclusive use of the client. The current price is the value of the financial asset share, unit or contract as priced at the close of the market on the last day of the statement period or the last available price. All values provided for structured yield deposits (for example, JPMorgan London Time Deposits) reflect the original deposit amount only. The value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically in an auction. Although there may be daily, weekly and monthly resets, there is no guarantee that there will be liquidity. If there are not enough bids at an auction to redeem the securities available for sale, the result may be a failed auction. In the event of a failed auction, there is no assurance that a secondary market will develop or that the security will trade at par or any other price reflected on statements and online. Accordingly, investors should not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. Morgan is unable to obtain a price from an internal or outside source for a particular ARS, the price column on your statement will indicate "unpriced". Valuations of over-the-counter derivative transactions, including certain derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the models or estimates used in deriving the valuations, (2) any errors or omissions in computing or disseminating the valuations, and (3) any uses to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. Please refer to the trade confirmation for details of each transaction. Certain assets, including but not limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been provided to us by third EFTA01566097 parties who may or may not be independent of the issuer or manager. Such information is reflected as of the last date provided to us, and is not independently verified. In cases where we are unable to obtain a current market value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". Although such securities may have value, please note that the value of a security indicated as "unpriced" will not be included in your overall current market value as reflected on the statement. J.P. Morgan makes no representation, warranty or guarantee, express or implied, that any quoted value represents the actual terms at which securities could be bought or sold or new transactions could be entered into, or the actual terms on which existing transactions or securities could be liquidated. Such values may only be indicative. When we are unable to obtain a current value from an internal or outside source for a particular security, the price column on your statement will indicate "unpriced". If a partial call is made with respect to an issue of securities included in your Accounts we will allocate the call by a method we deem fair and equitable. To the extent applicable, please note the following regarding estimated annual income (EAI) and estimated yield (EY): EAI and EY for certain types of securities could include a return of principal or capital gains in which case the EAI and EY would be overstated. EAI and EY are estimates and the actual income and yield might be lower or higher than the estimated amounts. EY reflects only the income generated by an investment. It does not reflect changes in its price, which may fluctuate. Offshore Deposits - London and Nassau Disclosures Page 1 of 2 EFTA01566098 For the Period 7/1/13 to 7/31/13 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Government; amounts in such foreign accounts do not have the benefit of any domestic preference applicable to U.S Banks; certain Foreign accounts are considered reportable to the Internal Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. In case of other errors or questions about other account statement(s) Please review your account statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, improper payments or transfers in writing to JPMCB at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights. If you have any questions please contact your J.P. Morgan team. In your written communication, please provide the following information: (1) your name and account number; (2) the dollar amount of the suspected error; and (3) a description of the error and explanation, if you can, why you believe there is an error. If you need more information, you must describe the item you are unsure about. We must receive your written communication no later than 30 days after the statement on which the error or problem appeared is sent or made available. If you do not so notify us, you agree that the statement activity and account balance(s) are correct. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives or financial situation or if you wish to EFTA01566099 modify the management of your account. Unless you inform otherwise, your J.P.Morgan representative will consider the information currently in its files to be complete and accurate. Disclosures Page 2 of 2 EFTA01566100