EFTA01572235.pdf

GHISLAINE MAXWELL EFTA01572235 EFTA01572236 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL- OAP FDG 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 10/1/11 to 10/31/11 Investment Management Account J.P. Morgan Team Paul Morris Ian Hirschfield Janet Young Gina Magliocco Online access Banker Investment Specialist Client Service Team Client Service Team www.MorganOnline.com For important information regarding your accounts refer to the rear of your statement Table of Contents Account Summary Page 2 Holdings Equity Cash & Fixed Income Portfolio Activity 4 7 9 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before December 1, 2011. This will allow us to process your request before year-end and meet the deadline for tax filing purposes. 0000001173.15.0.15.00001.MAXWE04.20111102 Page 1 of 10 EFTA01572237 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Account Summary Asset Allocation Equity Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 145,237.97 3,437.53 $148,675.50 153.64 $148,829.14 Ending Market Value 156,591.73 3,268.48 $159,860.21 527.24 $160,387.45 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 (272.81) ($272.81) 103.76 11,353.76 $159,860.21 527.24 $160,387.45 Period Value 148,675.50 Change In Value 11,353.76 (169.05) $11,184.71 373.60 $11,558.31 Year-to-Date EFTA01572238 Value 0.00 150,000.00 (272.81) $149,727.19 698.81 9,434.21 $159,860.21 527.24 $160,387.45 Estimated 5,389.64 0.98 Current Annual Income Allocation 98% 2% $5,390.62 100% Cash & Fixed Income Asset Allocation Equity Page 2 of 10 EFTA01572239 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 103.68 0.08 $103.76 Year-to-Date Value 697.91 0.90 $698.81 Unrealized Gain/Loss To-Date Value $9,434.21 Cost Summary Equity Cash & Fixed Income Total 3,268.48 Cost 147,157.52 $150,426.00 Page 3 of 10 EFTA01572240 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Equity Summary Asset Categories US Large Cap Equity Beginning Market Value 145,237.97 Ending Market Value 156,591.73 Change In Value 11,353.76 Current Allocation 98% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Equity Detail Price US Large Cap Equity ABBOTT LABORATORIES AIR PRODUCTS & CHEMICALS INC AUTOMATIC DATA PROCESSING INC 002824-10-0 ABT 86.14 009158-10-6 APD 52.33 053015-10-3 ADP 150.000 7,849.50 7,264.05 585.45 86.000 7,408.04 7,148.42 259.62 53.87 148.000 7,972.76 7,308.74 664.02 284.16 71.04 EFTA01572241 199.52 49.88 216.00 3.56% 2.69% 2.75% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value 156,591.73 147,157.52 9,434.21 5,389.64 527.15 3.44% Page 4 of 10 EFTA01572242 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Price US Large Cap Equity CHEVRON CORP 166764-10-0 CVX COLGATE PALMOLIVE CO CONOCOPHILLIPS GENERAL MILLS INC 194162-10-3 CL 69.65 20825C-10-4 COP 38.53 370334-10-4 GIS HONEYWELL INTERNATIONAL INC ILLINOIS TOOL WORKS INC INTEL CORP 438516-10-6 HON 48.63 452308-10-9 ITW 24.54 458140-10-0 INTC JOHNSON & JOHNSON KELLOGG CO 478160-10-4 JNJ 54.21 487836-10-8 K LOCKHEED MARTIN CORP MC DONALDS CORP 539830-10-9 LMT 92.85 580135-10-1 MCD MICROCHIP TECHNOLOGY INC NEXTERA ENERGY INC 595017-10-4 MCHP 56.40 65339F-10-1 NEE Page 5 of 10 137.000 7,726.80 7,254.34 472.46 301.40 3.90% 36.18 226.000 8,176.68 7,272.67 904.01 313.68 3.84% EFTA01572243 98.000 9,099.30 8,329.79 769.51 274.40 3.02% 75.90 102.000 7,741.80 7,330.98 410.82 408.00 5.27% 140.000 7,589.40 7,423.95 165.45 240.80 3.17% 64.39 126.000 8,113.14 7,863.57 249.57 287.28 3.54% 380.000 9,325.20 8,040.38 1,284.82 319.20 3.42% 138.000 6,710.94 6,498.07 212.87 198.72 2.96% 52.40 145.000 7,598.00 7,124.46 473.54 196.000 7,551.88 7,105.54 446.34 108.000 7,522.20 7,298.55 223.65 EFTA01572244 90.37 89.000 8,042.93 7,413.85 629.08 206.48 51.62 285.12 71.28 239.12 59.78 216.05 2.57% 3.79% 3.17% 2.84% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 105.05 81.000 8,509.05 7,927.41 581.64 262.44 3.08% EFTA01572245 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Price US Large Cap Equity PEOPLE'S UNITED FINANCIAL INC PEPSICO INC 712704-10-5 PBCT 62.95 713448-10-8 PEP PROCTER & GAMBLE CO RAYTHEON CO 742718-10-9 PG 44.19 755111-50-7 RTN Total US Large Cap Equity $156,591.73 $147,157.52 $9,434.21 163.000 7,202.97 6,815.36 387.61 63.99 121.000 7,742.79 7,274.91 467.88 254.10 63.53 280.36 70.09 $5,389.64 $527.15 3.28% 3.89% 3.44% 118.000 7,428.10 7,546.72 (118.62) 12.75 571.000 7,280.25 6,915.76 364.49 359.73 89.93 243.08 4.94% 3.27% Quantity EFTA01572246 Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 6 of 10 EFTA01572247 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 3,437.53 Ending Market Value 3,268.48 Change In Value (169.05) Current Allocation 2% Current Market Value/Cost Market Value Tax Cost Estimated Annual Income Accrued Interest Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 3,268.48 3,268.48 0.98 0.09 0.03% SUMMARY BY TYPE Market Value 3,268.48 % 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 3,268.48 % of Bond EFTA01572248 Portfolio 1009a Page 7 of 10 EFTA01572249 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 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 1.00 3,268.48 3,268.48 3,268.48 0.98 0.09 0.03% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 8 of 10 EFTA01572250 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Portfolio Activity Summary Beginning Cash Balance Transactions Income INFLOWS 103.76 Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Total Trade Activity $103.76 (272.81) ($272.81) Settled Securities Purchased $0.00 Ending Cash Balance $3,268.48 * 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 698.81 150,000.00 $150,698.81 (272.81) ($272.81) (147,157.52) ($147,157.52) -Current Period Value 3,437.53 Year-To-Date Value* -Page 9 of 10 EFTA01572251 GHISLAINE MAXWELL- OAP FDG ACCT. For the Period 10/1/11 to 10/31/11 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 10/3 10/3 10/12 Div Domest Interest Income Div Domest Total Income Type Settle Date Selection Method Fees & Commissions 10/19 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 08-03-2011 TO 09-30-2011 Quantity Cost Description AUTOMATIC DATA PROCESSING INC @ 0.36 PER SHARE (ID: 053015-10-3) DEPOSIT SWEEP INTEREST FOR SEPT @ .03% RATE ON NET AVG COLLECTED BALANCE OF $3,164.78 AS OF 10/01/11 ILLINOIS TOOL WORKS INC @ 0.36 PER SHARE (ID: 452308-10-9) 138.000 0.36 49.68 $103.76 Quantity Cost 150.000 Per Unit Amount 0.36 Amount 54.00 0.08 Amount (272.81) Page 10 of 10 EFTA01572252 For the Period 10/1/11 to 10/31/11 IMPORTANT INFORMATION ABOUT YOUR STATEMENT(S) Please take the steps indicated below if you think statements are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). In case of other errors or questions about other account statements Please review your account statement 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 both the introducing broker at the addresses shown on your statement. 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. Important Information about Pricing and Valuations 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 or other sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy 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. Such values may only be indicative. 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 assets may have been provided to us by third parties who may not be independent of the issuer or manager. Such information is reflected as of the last date provided to us, and is not independently verified. Valuations of over-the-counter derivative transactions, including certain derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are derived from proprietary EFTA01572253 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. 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. 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. Offshore Deposits - London and Nassau Disclosures Page 1 of 2 EFTA01572254 For the Period 10/1/11 to 10/31/11 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). 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. 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. Bank products and services are offered through JPMCB and its banking 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 Accounts we will allocate the call by a method we deem fair and equitable. JPMS is not a bank and is a separate legal entity from its bank or thrift affiliates, including JPMorgan Chase Bank, N.A. ("JPMCB"). Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Disclosures Page 2 of 2 EFTA01572255