EFTA01570923

GHISLAINE MAXWELL EFTA01570923 EFTA01570924 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL (Reviewed) For the Period 10/1/12 to 10/31/12 Asset Account J.P. Morgan Team Jason Bell Janet Young Gina Magliocco Investment Specialist Client Service Team Client Service Team Table of Contents Account Summary Holdings Equity Alternative Assets Cash & Fixed Income Other Assets Portfolio Activity Online access 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). Page 2 5 8 9 R 15 17 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before December 1, 2012. This will allow us to process your request before year-end and meet the deadline for tax filing purposes. 0000000059.00.0.9E.00001.MAXWE04.20121107 Page 1 of 35 EFTA01570925 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 716,979.98 84,903.67 7,349,854.32 95,080.11 $8,246,818.08 19,968.17 $8,266,786.25 Ending Market Value 725,752.95 82,482.42 7,363,104.02 159,882.30 $8,331,221.69 17,581.99 $8,348,803.68 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 (243.16) 1,724,107.92 (1,677,063.23) $46,801.53 16,946.04 20,656.04 $8,331,221.69 17,581.99 $8,348,803.68 EFTA01570926 Period Value 8,246,818.08 Change In Value 8,772.97 (2,421.25) 13,249.70 64,802.19 $84,403.61 (2,386.18) $82,017.43 Year-to-Date Value 4,926,904.29 4,972,947.20 (2,081,165.74) 14,267,350.24 (14,755,268.29) $2,403,863.41 90,546.88 909,907.11 $8,331,221.69 17,581.99 $8,348,803.68 Estimated 45,693.48 45,161.61 $90,855.09 Current Annual Income Allocation 11% 1% 86% 2% 100% Equity Cash & Fixed Income Other Alternative Assets Asset Allocation Page 2 of 35 EFTA01570927 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Tax Summary Domestic Dividends/Distributions Foreign Dividends Currency Gain/Loss Interest Income Taxable Income Tax-Exempt Income Bond Premium Amortization Tax-Exempt Income CONTINUED Current Period Value 5,925.00 2,579.61 13.27 7,709.30 $16,227.18 1,250.00 (531.14) $718.86 Year-to-Date Value 14,729.60 12,777.47 (15,363.25) 71,366.89 $83,510.71 10,000.00 (2,963.83) $7,036.17 Unrealized Gain/Loss To-Date Value ($57,046.10) ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value Year-to-Date Value (45,626.77) (82,656.00) ($128,282.77) Note: * This summary is for informational purposes only and is not to be used for any financial or tax purposes. This summary does not include securities which are taxable at the federal level but are state exempt. This summary may not include all income derived from Municipal Securities; Please consult your tax advisor for tax EFTA01570928 implications. 1 Other category combines all the remaining Tax Exempt Income generated by securities in the account which may not have a state affiliation. Tax-Exempt Income Summary by State* MA MI Current Period Value 718.86 Year-to-Date Value 1,824.06 1,606.61 Tax-Exempt Income Summary by State* TX Tax-Exempt Income $718.86 Current Period Value Year-to-Date Value 3,605.50 $7,036.17 Page 3 of 35 EFTA01570929 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Account Summary Cost Summary Equity Cash & Fixed Income Other Total CONTINUED Cost 764,967.39 7,391,756.64 90,364.18 $8,247,088.21 Page 4 of 35 EFTA01570930 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Equity Summary Asset Categories US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Preferred Stocks Concentrated & Other Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Equity Detail Price US Large Cap Equity APACHE CORP 037411-10-5 APA Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Beginning Market Value 55,587.22 5,130.00 139.76 449,298.00 206,825.00 $716,979.98 Ending Market Value 58,158.40 3,990.00 150.05 449,211.00 214,243.50 $725,752.95 Current Period Value 725,752.95 764,967.39 EFTA01570931 (39,214.44) 45,693.48 1,853.65 6.27% US Large Cap Equity Concentrated & Other Equity Equity as a percentage of your portfolio - 11 % Change In Value 2,571.18 (1,140.00) 10.29 (87.00) 7,418.50 $8,772.97 Current Allocation 1% 1% 1% 5% 3% 11% US Small/Mid Cap Equity Preferred Stocks Non-US Equity Asset Categories 82.72 95.000 7,858.31 11,403.30 (3,544.99) 64.60 16.15 0.82% Page 5 of 35 EFTA01570932 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price US Large Cap Equity BANK OF AMERICA CORP CITIGROUP INC NEW 060505-10-4 BAC 37.39 172967-42-4 C PROSHARES ULTRASHORT S&P500 NEW PROSHARES TRUST SCHLUMBERGER LTD Total US Large Cap Equity 74347B-30-0 SDS 30.61 74347X-23-7 QID 69.53 806857-10-8 SLB $58,158.40 $116,137.71 ($57,979.31) $240.98 $16.15 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875 766994-90-9 GBP 0.41% 113.000 7,856.89 9,524.04 (1,667.15) 124.30 1.58% 200.000 6,122.00 26,203.50 (20,081.50) 56.55 250.000 14,137.50 44,809.50 (30,672.00) 358.000 13,385.62 14,048.52 (662.90) 14.32 EFTA01570933 0.11% 9.32 944.000 8,798.08 10,148.85 (1,350.77) 37.76 0.43% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 1.33 3,000.000 3,990.00 18,129.32 (14,139.32) 50.02 3.000 150.05 212.23 (62.18) Page 6 of 35 EFTA01570934 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price Preferred Stocks CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20-1 C PNNA /BA1 COUNTRYWIDE CAPITAL V 7% PFD 222388-20-9 CFC PB 3PM CHASE CAPITAL XXIX 6.7% PFD 48125E-20-7 3PM PC Total Preferred Stocks 26.31 2,500.000 65,775.00 $449,211.00 62,500.00 $422,578.96 3,275.00 $26,632.04 4,187.50 $31,227.50 $1,837.50 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 /BA1 Total Concentrated & Other Equity $214,243.50 $207,909.17 $6,334.33 $14,225.00 6.57% 115.75 150,000.000 173,623.50 157,909.17 15,714.33 11,850.00 6.74% 6.37% 6.95% 25.08 4,200.000 105,336.00 EFTA01570935 98,778.96 6,557.04 7,350.00 1,837.50 6.98% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 27.81 10,000.000 278,100.00 261,300.00 16,800.00 19,690.00 7.08% 40.62 1,000.000 40,620.00 50,000.00 (9,380.00) 2,375.00 5.85% Page 7 of 35 EFTA01570936 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Alternative Assets Summary Beginning Asset Categories Hard Assets Estimated Value 84,903.67 Alternative Assets Detail Price Hard Assets ETFS METAL SECURITIES LTD ISIN JEO0B1VS3770 SEDOL BlVS377 131994-91-5 SPDR GOLD TRUST Total Hard Assets 78463V-10-7 GLD $82,482.42 $76,999.78 166.83 190.000 31,697.70 31,931.40 168.72 301.000 50,784.72 45,068.38 Quantity Estimated Value Cost Ending Estimated Value 82,482.42 Change In Value (2,421.25) Current Allocation 1% Page 8 of 35 EFTA01570937 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Cash & Fixed Income Summary Beginning Asset Categories Cash Non-USD Cash Non-USD Short Term US Fixed Income Non-US Fixed Income Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Interest Yield Market Value 5,840,799.03 349,222.62 114,401.87 632,074.05 413,356.75 $7,349,854.32 Ending Market Value 5,855,471.25 17,878.83 445,969.02 633,126.82 410,658.10 $7,363,104.02 Current Period Value 7,363,104.02 7,391,756.64 (28,652.62) 45,161.61 15,728.34 0.57% Change In Value 14,672.22 (331,343.79) 331,567.15 1,052.77 (2,698.65) $13,249.70 Current Allocation EFTA01570938 67% 1% 5% 8% 5% 86% Non-USD Short Term Non-USD Cash US Fixed Income Non-US Fixed Income Asset Categories Cash Cash & Fixed Income as a percentage of your portfolio - 86 % Page 9 of 35 EFTA01570939 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 6-12 months, 1-5 years' 10+ years' Total Value 1 SUMMARY BY TYPE Market Value 6,461,828.22 114,237.95 559,870.35 227,167.50 $7,363,104.02 % of Bond Portfolio 89% 1% 7% 3% 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. Note: R indicates position reviewed. 1 Cash & Fixed Income Cash NON USD Cash Corporate Bonds Municipal Bonds International Bonds Mutual Funds Total Value Market Value 5,855,471.25 17,878.83 305,077.00 227,167.50 935,554.13 21,955.31 $7,363,104.02 A - Bonds purchased at a premium show amortization. This is the Annual Percentage Yield (APY) which is the rate earned if EFTA01570940 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 3PM NY MUNI MM FD - MORGAN Total Cash FUND 3 $5,855,471.25 $5,855,471.25 $0.00 $585.54 $49.50 0.01% 1.00 1.00 5,855,470.25 1.00 5,855,470.25 1.00 5,855,470.25 1.00 585.54 49.50 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield % of Bond Portfolio 79% 1% 4% 3% 12% 1% 100% Page 10 of 35 EFTA01570941 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price Non-USD Cash AUSTRALIAN DOLLAR POUND STERLING HONG KONG DOLLAR TURKISH LIRA NEW PRINCIPAL CURRENCY Total Non-USD Cash 1.04 1.61 0.13 0.56 100.00 4,212.18 950.00 19,500.00 103.69 6,786.03 122.58 10,866.53 $17,878.83 103.25 6,726.54 122.44 10,763.97 $17,716.20 0.44 59.49 0.14 102.56 $162.63 $0.00 0.00% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Non-USD Short Term JP MORGAN CHASE BANK - NOK 17.52 LONDON TIME DEPOSITS 0.8500% DATED 10/30/2012 MATURITY 11/06/2012 HELD BY LONDON TREASURY SERVICES Bearer EFTA01570942 2532D9-9R-9 NOK JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/31/2012 MATURITY 11/07/2012 HELD BY LONDON TREASURY SERVICES Bearer 2532D9-9Y-4 CAD 100.05 115,616.13 115,673.97 113,223.45 2,450.52 659.33 1.73 0.58% 1,233,545.68 216,057.10 208,173.12 7,883.98 1,836.48 10.15 0.86% Page 11 of 35 EFTA01570943 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price Non-USD Short Term KFW - TRY MTN 9 3/4% JUL 16 2013 DTD 02/10/2010 HELD BY EUROCLEAR ISIN XS0484842470 SEDOL B637YV8 14085A-9A-6 AAA /AAA TRY Total Non-USD Short Term $445,969.02 $456,952.13 ($10,983.11) $13,362.34 $3,227.14 US Fixed Income JPM MANAGED RESERVES C (DIST) - GBP (HEDGED) 051398-91-5 GBP ISHARES MARKIT IBOXX CORPORATE BOND ISIN IE00B00FV011 SEDOL BOOFV01 461278-91-3 GBP HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15 2015 DTD 10/15/2010 40429X-YB-6 A /BAA GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE NOTE MAY 11 2016 DTD 05/11/2007 36962G-2V-5 AA+ /A1 BANK OF AMERICA CORP MEDIUM TERM NOTE 3.6% NOV 15 2016 DTD 11/04/2010 06050W-DW-2 A- /BAA Page 12 of 35 103.19 150,000.00 154,786.50 150,000.00 4,786.50 5,400.00 2,490.00 2.76% 97.69 50,000.00 48,842.50 45,394.50 3,448.00 333.42 EFTA01570944 75.90 1.34% 101.45 100,000.00 101,448.00 100,000.00 1,448.00 2,900.00 128.80 2.39% 209.10 105.00 21,955.31 19,023.08 2,932.23 10,321.30 7.65 78,927.01 80,157.26 (1,230.25) 2.10% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 57.12 200,000.00 114,237.95 135,555.56 (21,317.61) 10,866.53 3,215.26 5.97% EFTA01570945 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price US Fixed Income A MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK ENTRY ONLY PAR CALL 10/01/2016 @ 100 59455T-PF-3 AAA /AAA A BIRDVILLE TEXAS INDEPENDENT SCHOOL DIST PERM SCH GTD FUND UNLIMITED TAX 5% FEB 15 2029 DTD 01/15/2007 HELD BY DTC BOOK ENTRY ONLY PAR CALL 02/15/2017 @ 100 090874-FV-5 AAA /AAA A MA ST HLTH & EDUCTNL FACS AUTH REVENUE HARVARD UNIV 5% B JUL 15 2032 DTD 08/03/2005 HELD BY DTC BOOK ENTRY ONLY PAR CALL 07/15/2015 @ 100 57586C-FW-0 AAA /AAA Total US Fixed Income $633,126.82 $610,767.46 $614,541.84 Non-US Fixed Income BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 G13289-92-4 GBP ISHARES BARCLAYS CAPITAL ISIN IE00B1FZSD53 SEDOL B1G52V0 46578W-92-2 GBP 20.40 5,790.00 118,092.21 118,212.32 (120.11) 1,851.44 201.03 187.90 37,772.54 39,293.00 (1,520.46) $22,359.36 $18,633.42 $4,694.60 2.54% 109.64 50,000.00 EFTA01570946 54,817.50 53,047.38 54,040.00 1,770.12 2,500.00 736.10 4.27% 114.71 100,000.00 114,708.00 108,704.81 110,503.00 6,003.19 5,000.00 1,055.50 3.78% 115.28 50,000.00 57,642.00 54,440.43 55,424.00 3,201.57 2,500.00 208.30 3.59% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 13 of 35 EFTA01570947 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price Non-US Fixed Income R INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY EUROCLEAR ISIN XS0495010562 SEDOL B5114T3 U45818-9G-5 AAA /AAA INR INTER AMERICAN DEVEL BK - IDR MEDIUM TERM NOTE 6.50% JUN 04 2014 DTD 06/04/2010 HELD BY EUROCLEAR ISIN XS0513770957 SEDOL B4YWHCO 45818W-9K-4 AAA /AAA IDR Total Non-US Fixed Income $410,658.10 $450,849.60 ($40,191.50) $12,580.31 $7,757.10 3.96% 0.01 1,300,000,000.00 136,656.00 150,112.11 (13,456.11) 8,797.50 3,615.30 5.89% 1.76 10/10/12 6,700,000.00 118,137.35 143,232.17 (25,094.82) 3,782.81 2,290.36 6.96% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Page 14 of 35 EFTA01570948 EFTA01570949 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Other Summary Asset Categories Balanced Beginning Estimated Value 95,080.11 Ending Estimated Value 159,882.30 Change In Value 64,802.19 Current Allocation 2% Current Market Value/Cost Estimated Value Tax Cost Estimated Gain/Loss Note: ** Period Value 159,882.30 90,364.18 5,338.32 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. Other Detail Price Balanced JPM INC OPP - GBP - A - DIST(HEDGED) ISIN LU0323456201 287991-93-9 GBP 146.49 438.109 64,179.80 N/A ** N/A Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Page 15 of 35 EFTA01570950 EFTA01570951 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Price Balanced PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 695421-91-7 GBP Total Balanced $159,882.30 $90,364.18 $5,338.32 21.94 4,361.513 95,702.50 90,364.18 5,338.32 Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Page 16 of 35 EFTA01570952 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary - U S Dollar Beginning Cash Balance PRINCIPAL Current Transactions INFLOWS Income Contributions Foreign Exchange - Inflows Total Inflows OUTFLOWS ** Withdrawals Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance $0.00 $5,855,470.25 640,598.74 (41,431.40) $599,167.34 -$0.00 $0.00 $0.00 -$0.00 $14,672.22 Period Value 5,840,798.03 14,672.22 Year-To-Date Value* -75,471.33 4,972,118.20 622,934.18 $5,670,523.71 (1,419,530.95) (159,902.42) ($1,579,433.37) $0.00 $0.00 $0.00 $0.00 INCOME Current Period EFTA01570953 Value 0.00 Year-To-Date Value* -Current Securities Transferred In/Out Securities Transferred Out Period Value (13,231.00) Year-To-Date Value* (13,231.00) Page 17 of 35 EFTA01570954 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary - U S Dollar Current Cost Adjustments Amortization Cost Adjustments Total Cost Adjustments ($531.14) Period Value (531.14) Year-To-Date Value* (2,963.83) 9,237.41 $6,273.58 * Year to date information is calculated on a calendar year basis. ** Your account's standing instructions use a HIGH COST method for relieving assets from your position Portfolio Activity Detail - U S Dollar INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/1 Municipal Interest Description MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK ENTRY ONLY PAR CALL 10/01/2016 @ 100 (ID: 59455T-PF-3) 10/1 10/2 10/12 Interest Income Interest Income Foreign Dividend DEPOSIT SWEEP INTEREST FOR SEPT @ .01% RATE ON NET AVG COLLECTED BALANCE OF $5,779,724.08 AS OF 10/01/12 3PM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER SHARE (ID: 48125E-20-7) SCHLUMBERGER LTD @ 0.275 PER SHARE (ID: 806857-10-8) 2,500.000 113.000 0.419 0.275 1,046.88 31.08 47.39 EFTA01570955 Quantity Cost 50,000.000 Per Unit Amount 0.025 PRINCIPAL Amount 1,250.00 INCOME Amount Page 18 of 35 EFTA01570956 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/15 10/30 10/30 Corporate Interest Div Domest Interest Income Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/5 Description NonTaxableExchange PROSHARES ULTRASHORT S&P500 NEW REVERSE SPLIT - HOLDERS RECEIVE 1 NEW UNIT FOR EVERY 4 OLD UNITS OF PROSHARES ULTRASHORT S&P 500, CUSIP: 74347R883, HELD. (ID: 743478-30-0) Securities Transferred Out 10/5 Exchange Description HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15 2015 DTD 10/15/2010 (ID: 40429X-YB-6) JPMORGAN CHASE & CO 7.9% PFD STK APR 30 2049 DTD 04/23/2008 (ID: 46625H-HA-1) CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187 PER SHARE (ID: 173080-20-1) Quantity Cost Per Unit Amount 100,000.000 150,000.000 10,000.000 0.015 0.04 0.492 PRINCIPAL Amount 1,450.00 5,925.00 4,921.87 $14,672.22 INCOME Amount * Transaction Market Value is representative of the prior trading day's EFTA01570957 market value. This is for informational 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 250.000 44,809.50 Transaction Market Value * PROSHARES ULTRASHORT S&P500 REVERSE SPLIT HOLDERS RECEIVE 1 NEW UNIT OF PROSHARES (1,000.000) 44,809.50 ULTRASHORT S&P 500, CUSIP: 743476300, FOR EVERY 4 OLD UNITS HELD. (ID: 74347R-88-3) (13,231.00) Page 19 of 35 EFTA01570958 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 COST ADJUSTMENTS Settle Date 10/1 Type Amortization Description MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK ENTRY ONLY PAR CALL 10/01/2016 @ 100 MUNICIPAL BOND PREMIUM AMORTIZATIO (ID: 59455T-PF-3) Quantity 50,000.000 Cost Basis Adjustments (531.14) Page 20 of 35 EFTA01570959 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary Canadian Dollar PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Withdrawals Ending Cash Balance Period Value -64.84 $64.84 (64.84) ($64.84) -Year-To-Date Value* -581.86 $581.86 (581.86) ($581.86) -Local Value Current Period Value 0.00 64.05 64.05 (64.05) (64.05) 0.00 INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 EFTA01570960 Year-To-Date Value* --Year-To-Date Value* -582.59 582.59 (582.59) (582.59) -Page 21 of 35 EFTA01570961 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary - Canadian Dollar Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 585,014.77 (585,022.37) Year-To-Date Value* 4,843,083.61 (4,841,922.82) * Year to date information is calculated on a calendar year basis. ** Your account's standing instructions use a HIGH COST method for relieving assets from your position Portfolio Activity Detail - Canadian Dollar INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/3 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/26/2012 MATURITY 10/03/2012 HELD BY LONDON TREASURY SERVICES (ID: 2531P9-9S-6) 10/3 10/10 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/03/2012 MATURITY 10/10/2012 HELD BY LONDON TREASURY SERVICES (ID: 2531S9-9V-6) 10/10 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) (12.810) (13.09) (12.81) Page 22 of 35 (12.810) 115,564.890 (13.03) (12.81) 13.09 EFTA01570962 12.81 Quantity 115,552.080 Amount USD Local Value PRINCIPAL Amount USD Local Value 13.03 12.81 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01570963 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/17 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/10/2012 MATURITY 10/17/2012 HELD BY LONDON TREASURY SERVICES (ID: 2531U9-9W-1) 10/17 10/24 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/17/2012 MATURITY 10/24/2012 HELD BY LONDON TREASURY SERVICES (ID: 2531X9-9U-2) 10/24 10/31 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/24/2012 MATURITY 10/31/2012 HELD BY LONDON TREASURY SERVICES (ID: 2532A9-9L-5) 10/31 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Total Inflows & Outflows (12.810) (12.82) (12.81) $0.00 (12.810) 115,603.320 (12.91) (12.81) 12.82 12.81 (12.810) 115,590.510 (12.99) (12.81) 12.91 12.81 EFTA01570964 Quantity 115,577.700 Amount USD Local Value PRINCIPAL Amount USD Local Value 12.99 12.81 INCOME Amount USD Local Value Currency Gain/Loss USD Page 23 of 35 EFTA01570965 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/1 SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/3 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON 0.5700% DATED 10/03/2012 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2531S9-9V-6) 10/11 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON 0.5700% DATED 10/10/2012 MATURITY HELD BY LONDON TREASURY SERVICES AS OF 10/10/12 (ID: 2531U9-9W-1) 10/17 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON 0.5700% DATED 10/17/2012 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2531X9-9U-2) 10/24 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON 0.5700% DATED 10/24/2012 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2532A9-9L-5) 10/31 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON 0.5700% DATED 10/31/2012 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2532D9-9Y-4) Total Securities Transferred In $585,014.77 115,616.130 113,223.45 115,691.33 115,603.320 113,210.63 116,471.03 115,590.510 113,197.72 117,225.81 115,577.700 113,184.73 118,087.05 2 TIME DEPOSITS 10/10/2012 CLIENT REF FTD TIME DEPOSITS 10/17/2012 CLIENT REF FTD TIME DEPOSITS 10/24/2012 CLIENT REF FTD TIME DEPOSITS 10/31/2012 CLIENT REF FTD TIME DEPOSITS 11/07/2012 CLIENT REF FTD EFTA01570966 * Transaction Market Value is representative of the prior trading day's market value. This is for informational 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 115,564.890 113,171.64 Transaction Market Value * 117,539.55 Page 24 of 35 EFTA01570967 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Notes: * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Settle Date Selection Method Securities Transferred Out 10/3 Free Delivery Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/26/2012 MATURITY 10/03/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531P9-9S-6) 10/10 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/03/2012 MATURITY 10/10/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531S9-9V-6) 10/17 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/10/2012 MATURITY 10/17/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531U9-9W-1) 10/24 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/17/2012 MATURITY 10/24/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531X9-9U-2) 10/31 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/24/2012 MATURITY 10/31/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2532A9-9L-5) Total Securities Transferred Out ($585,022.37) (115,603.320) 113,210.63 (115,678.51) (115,590.510) 113,197.72 (116,458.12) (115,577.700) 113,184.73 EFTA01570968 (117,212.82) (115,564.890) 113,171.64 (118,146.39) Quantity Cost (115,552.080) 113,158.61 Transaction Market Value * (117,526.53) Page 25 of 35 EFTA01570969 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary - Norwegian Krone PRINCIPAL US Dollar Value Current Transactions Income INFLOWS Total Inflows OUTFLOWS ** Withdrawals Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Total Trade Activity Settled Sales/Maturities/Redemptions $0.00 Ending Cash Balance -Period Value Beginning Cash Balance -178.32 $178.32 (178.32) ($178.32) Year-To-Date Value* -1,566.15 $1,566.15 (104,526.55) (13,993.71) ($118,520.26) 116,983.65 $116,983.65 -Local Value Current Period Value 0.00 1,018.88 1,018.88 (1,018.88) (1,018.88) Year-To-Date Value* -9,135.73 9,135.73 (601,288.39) (80,557.60) (681,845.99) EFTA01570970 0.00 0.00 672,710.26 672,710.26 -Page 26 of 35 EFTA01570971 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary Norwegian Krone INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 Year-To-Date Value* --Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 1,078,988.15 (1,078,809.86) Year-To-Date Value* 7,995,979.34 (8,532,025.83) US Dollar Value Current Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* (138,881.78) ($138,881.78) * 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 0.00 Local Value Current Period Value EFTA01570972 Year-To-Date Value* (784,956.53) (784,956.53) Page 27 of 35 EFTA01570973 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Detail - Norwegian Krone INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/2 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2531P9-9M-9) 10/2 10/9 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2531S9-9Q-7) 10/9 10/16 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2531U9-9S-0) 10/16 10/23 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2531X9-9Q-1) 10/23 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) (203.810) (35.96) (203.81) (203.780) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,233,138.030 0.8500% DATED 10/16/2012 MATURITY 10/23/2012 (35.65) (203.78) 35.96 203.81 (203.740) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,934.250 0.8500% DATED 10/09/2012 MATURITY 10/16/2012 (35.72) (203.74) EFTA01570974 35.65 203.78 (203.710) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,730.510 0.8500% DATED 10/02/2012 MATURITY 10/09/2012 (35.60) (203.71) 35.72 203.74 Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,232,526.800 0.8500% DATED 09/25/2012 MATURITY 10/02/2012 Amount USD Local Value PRINCIPAL Amount USD Local Value 35.60 203.71 INCOME Amount USD Local Value Currency Gain/Loss USD Page 28 of 35 EFTA01570975 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/30 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2532A9-9D-3) 10/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/2 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/02/2012 MATURITY 10/09/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531S9-9Q-7) 10/9 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/09/2012 MATURITY 10/16/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531U9-9S-0) 10/16 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/16/2012 MATURITY 10/23/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531X9-9Q-1) Page 29 of 35 1,233,138.030 208,101.77 215,724.99 1,232,934.250 208,066.12 216,135.51 (203.840) (35.39) (203.84) $0.00 Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,233,341.840 EFTA01570976 0.8500% DATED 10/23/2012 MATURITY 10/30/2012 Amount USD Local Value PRINCIPAL Amount USD Local Value 35.39 203.84 INCOME Amount USD Local Value Currency Gain/Loss USD * Transaction Market Value is representative of the prior trading day's market value. This is for informational 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 1,232,730.510 208,030.40 Transaction Market Value * 215,403.11 EFTA01570977 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Notes: * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Settle Date Selection Method Securities Transferred In 10/23 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/23/2012 MATURITY 10/30/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2532A9-9D-3) 10/30 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/30/2012 MATURITY 11/06/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2532D9-9R-9) Total Securities Transferred In Securities Transferred Out 10/2 Free Delivery $1,078,988.15 1,233,545.680 208,173.12 214,136.78 Quantity Cost 1,233,341.840 208,137.73 Transaction Market Value * 217,587.76 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 09/25/2012 MATURITY 10/02/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531P9-9M-9) 10/9 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/02/2012 MATURITY 10/09/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531S9-9Q-7) 10/16 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS EFTA01570978 0.8500% DATED 10/09/2012 MATURITY 10/16/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531U9-9S-0) (1,232,934.250 ) 208,066.12 (215,689.35) (1,232,730.510 ) 208,030.40 (216,099.79) (1,232,526.800 ) 207,994.80 (215,367.52) Page 30 of 35 EFTA01570979 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Notes: * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Settle Date Selection Method Securities Transferred Out 10/23 Free Delivery Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/16/2012 MATURITY 10/23/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2531X9-9Q-1) 10/30 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 10/23/2012 MATURITY 10/30/2012 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2532A9-9D-3) Total Securities Transferred Out ($1,078,809.86) (1,233,341.840 ) 208,137.73 (214,101.40) Quantity Cost (1,233,138.030 ) 208,101.77 Transaction Market Value * (217,551.80) Page 31 of 35 EFTA01570980 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary - Pound Sterling PRINCIPAL US Dollar Value Current Transactions Income OUTFLOWS ** Withdrawals Tax Payments Foreign Exchange - Outflows Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance (1,154.22) ($1,154.22) -731,933.29 (1,329.75) $730,603.54 -(714.69) (714.69) 4,212.18 455,251.88 (824.19) 454,427.69 -$0.00 Period Value Beginning Cash Balance INFLOWS Foreign Exchange - Inflows Total Inflows -2,548.53 $2,548.53 Year-To-Date Value* -12,069.86 159,902.42 $171,972.28 (556,140.84) (355.93) (358,568.42) ($915,065.19) 0.00 Local Value Current EFTA01570981 Period Value 3,346.09 1,580.78 1,580.78 Year-To-Date Value* -7,605.66 100,776.72 108,382.38 (350,837.45) (222.15) (226,311.80) (577,371.40) Page 32 of 35 EFTA01570982 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Summary Pound Sterling INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 Year-To-Date Value* --Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 60,105.00 Year-To-Date Value* 1,428,287.29 (1,368,088.64) US Dollar Value Current Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* 19,059.78 $19,059.78 * 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 0.00 Local Value Current Period Value Year-To-Date EFTA01570983 Value* 12,137.60 12,137.60 Page 33 of 35 EFTA01570984 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 Portfolio Activity Detail - Pound Sterling INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/1 Foreign Dividend Description PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 @ 0.119082 PER SHARE CONY. @ "CONY RATE" AS OF 09/28/12 (ID: 695421-91-7) 10/3 10/9 Foreign Dividend Foreign Dividend Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/24 Receipt of Assets Description 3PM INC OPP - GBP - A - DIST(HEDGED) ISIN LU0323456201 RECEIVED FROM 3PM GENIEVA (ID: 287991-93-9) 3PM MANAGED RESERVES C (DIST) - GBP (HEDGED) AS OF 10/01/12 (ID: 051398-91-5) BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 @ 1.8452 PER SHARE CONY. @ "CONV RATE" AS OF 10/05/12 (ID: G13289-92-4) $2,548.53 $0.00 7.535 187.898 153.181 94.849 2.957 1.845 1,154.22 714.69 555.62 346.71 Quantity 4,361.513 Amount USD Local Value 0.192 EFTA01570985 0.119 PRINCIPAL Amount USD Local Value 838.69 519.38 INCOME Amount USD Local Value Currency Gain/Loss USD * Transaction Market Value is representative of the prior trading day's market value. This is for informational 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 438.109 0.00 Transaction Market Value * 60,105.00 Page 34 of 35 EFTA01570986 GHISLAINE MAXWELL ACCT. For the Period 10/1/12 to 10/31/12 TRADE ACTIVITY - Pound Sterling Per Unit Trade Date Settle Date Type Settled Securities Purchased 10/1 Purchase 10/3 Description 3PM MANAGED RESERVES C (DIST) GBP (HEDGED) AS OF 10/01/12 (ID: 051398-91-5) Quantity 0.112 Amount USD Local Value 10,305.536 1.62 Market Cost USD Local Value (1,154.22) (714.69) Currency Gain/Loss USD 13.27 Page 35 of 35 EFTA01570987 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01570988 For the Period 10/1/12 to 10/31/12 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 EFTA01570989 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 5 EFTA01570990 For the Period 10/1/12 to 10/31/12 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 ASSET ACCOUNT(S) (LINKED TO JPMS) Your Asset Account consists of a bank account that custodies assets linked to a brokerage account through which securities transactions are executed. As a result, the Asset Account statement(s) reflect brokerage transactions executed through JPMS but (except for exchange listed options) held in custody at JPMCB. Securities purchased or sold through JPMS in U.S. markets (other then mutual funds) are cleared through an affiliate of JPMS, in non-U.S. markets securities are cleared through JPMS. Positions in exchange-listed options are held by JPMCC. For your convenience, however, positions in exchange-listed options are presented in Asset Account statement(s) together with other assets held in such account(s). All pertinent information about your settled and pending purchases and sales effected through your JPMS account during the period covered by these statement(s), is summarized in the "Trade Activity" portion of the statement(s). In Case of Other Errors or Questions About Your Asset Account Statement(s) Please review your statement(s) and promptly report any inaccuracy or discrepancy including possible unauthorized trading activity, unrecorded dividend payments, unaccounted cash positions, EFTA01570991 improper payments or transfers in writing to both the introducing broker, JPMS and the clearing firm, JPMCC at the addresses shown on your statement(s). Any oral communication should be re-confirmed in writing to further protect your rights, including your rights under the Securities Investor Protection Act (SIPA). If you have any questions please contact your 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. JPMCC and JPMS are members of the Securities Investor Protection Corp ("SIPC"), a not-for-profit membership corporation funded by broker-dealers registered with the Securities and Exchange Commission. Securities and cash held for a customer at JPMCC are protected by SIPC up to $500,000 per customer, which includes up to $250,000 of protection for cash. SIPC does not protect against losses from fluctuations in the value of the securities. Assets held in custody by JPMCB are not subject to SIPC. You may obtain information about SIPC, including the SIPC Brochure, on their website, at "www.sipc.org" or by contacting them at (202) 371-8300. In Case of Errors or Questions About Your Electronic Transfers. Disclosures Page 2 of 5 EFTA01570992 For the Period 10/1/12 to 10/31/12 Contact your J.P. Morgan Team at one of the telephone numbers on the front of our statements or write us at J.P. Morgan, as soon as you can, if you think your statement is wrong or if you need more information about a transfer on the statement. We must hear from you no later than 60 days after we sent you the FIRST statement on which the error or problem appeared. (1) Tell us your name and account number. (2) Describe the error or the transfer you are unsure about, and explain as clearly as you can why you believe it is an error or why you need more information. (3) Tell us the dollar amount of the suspected error. We will investigate your complaint and will correct any error promptly. If we take more than 10 business days (or 20 business days for new accounts) to do this, we will credit your account for the amount you think is in error, so that you will have the use of the money during the time it takes us to complete our investigation. In Case of Errors or Questions About Non-Electronic Transfers (Checks or Deposits) Contact JPMorgan Chase Bank, N.A. ("JPMCB") Member FDIC immediately if a statement is incorrect or if you need more information about any non- electronic transactions (checks or deposits) on this statement. If any such error appears, you must notify the bank in writing as soon as possible after your statement was made available to you. For more complete details, see the applicable account agreements and appendices that govern your account. Deposit products and services are offered by JPMCB Member FDIC. You must promptly advise your J.P.Morgan representative of material changes in your investment objectives 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 files to be complete and accurate. With reference to JPMS and JPMCC: A financial statement of this organization is available to you for personal inspection at its offices, or a copy will be mailed to you upon written request. You should have received (or have made available to you) separate confirmations for each securities transaction. All transactions are subject to the terms and conditions stated on the reverse side of such confirmations and are subject to the constitution, by-laws, customs and interpretations of the marketplace where executed and governed by and construed in accordance with the laws of the State of New York and all applicable federal laws and regulations. Further information with respect to commissions and other charges related to the execution of transactions, including options transactions, has been included in confirmations that were previously furnished or have made available to you. Upon written request, JPMS will promptly supply you with the latest information. PRODUCT RELATED DISCLOSURE: IMPORTANT INFORMATION ABOUT ALTERNATIVE INVESTMENTS: FOOTNOTES 1 - 4 Private Equity, Hedge Funds, Exchange Funds, Real Estate and Other Alternative Assets EFTA01570993 I. Direct private equity investments and pooled private investments (e.g., interests in limited partnerships and limited liability companies) are generally illiquid securities. Values are estimates only and are not warranted for accuracy or completeness. Values do not represent the actual terms at which transactions or securities could be bought or sold or new transactions could be entered into or the actual terms on which existing transactions could be liquidated as of the date of this statement. Direct private equity investments are generally valued at cost, unless there is an active secondary trading market in the securities, in which case, direct private equity investments are valued using market prices as of the close of the last business day for this statement period Pooled private equity investments are valued according to the General Partner's or Manager's stated methodology. Please refer to the limited partnership agreement, limited liability company agreement or other operative documentation for each investment for the specific valuation methodology used by the General Partner or Manager for that investment or for your Investment Management or Trust account contact your J.P. Morgan team. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the information and the methodology used by the General Partner or Manager in deriving valuations, (2) any errors or omissions in compiling or disseminating the valuations, and (3) any use to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. Disclosures Page 3 of 5 EFTA01570994 For the Period 10/1/12 to 10/31/12 Hedge funds generally calculate the price (the "Net Asset Value" or " NAV"), 10-15 business days following the last business day of the month. For that reason, hedge fund NAVs shown will generally be the NAV of the month preceding this statement period. In general, the NAV is stated net of management and incentive fees. The NAV is calculated according to the General Partner's or Manager's stated methodology. Please refer to the limited partnership agreement, limited liability company agreement or other operative documentation for each hedge fund for the specific methodology used by the General Partner or Manager for that hedge fund or for your Investment Management or Trust account contact your J.P. Morgan team. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the information and the methodology used by the General Partner or Manager in deriving valuations, (2) any errors or omissions in compiling or disseminating the valuations, and (3) any use to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. These statements do not provide tax reporting on private investments. Please continue to rely upon the General Partner or Manager of the investment vehicle for this information or for your Investment Management or Trust account contact your J.P. Morgan team. 2. The 'Capital Called Since Inception USD' and 'Cash/Security distributions Since Inception USD' columns are updated monthly to reflect activity (capital calls and distributions), if any. 3. Hedge funds generally allow subscriptions on a monthly or quarterly basis. An interest in a hedge fund or hedge fund of funds is generally as of the first business day of the subscription period. Due to early funding requirements by the applicable fund, your account may be debited for the subscription amount prior to the subscription date. Please refer to the applicable hedge fund's operative documentation for further details or for your Investment Management or Trust account contact your J.P. Morgan team. Hedge fund redemptions are generally on a monthly, quarterly or annual basis but can sometimes be subject to a multi-year lockup before a redemption is permitted. For redemptions, there is generally a notification period that can be a long interval before the actual redemption date. Redemption proceeds are generally paid 15 calendar days after the final NAV is issued, but can be subject to a holdback of a portion of the proceeds until an annual audit of the Fund has been completed. Please refer to the applicable hedge fund's operative documentation for further details or for your Investment Management or Trust account contact your J.P. Morgan team. Global Access Portfolios share certain characteristics with hedge funds. In particular, an investor who withdraws from a Global Access Portfolio will not receive the withdrawal proceeds in their entirety until 30-60 days after completion of the Portfolio's audit, which may be 18 months or longer after the redemption date. Interest might not be paid on any proceeds pending distribution. These restrictions apply even if the investor's account at JPMorgan is closed. The Confidential Private Placement Memorandum and applicable Supplements contain other EFTA01570995 important information about the Global Access Portfolios and are available upon request or for your Investment Management or Trust account contact your J.P. Morgan team. 4. Alternative assets may include publicly available mutual funds that utilize non-traditional investment management strategies, for example, strategies commonly employed by hedge funds. Mutual funds generally calculate the price (the "Net Asset Value" or "NAV") on a daily basis and mutual fund NAVs shown on your statement generally will be the NAV as of the close of the last business day for this statement period. Please refer to the applicable mutual fund prospectus for further details. If the applicable mutual fund is a JPMorgan Fund, please refer to disclosures on this statement concerning JPMorgan Funds for other important information. PRODUCT RELATED DISCLOSURE: THE JPMORGAN FUNDS OR THIRD PARTIES Shares of the funds referenced above are not bank deposits and are not guaranteed by any bank, government entity, or the FDIC. Return and share price will fluctuate and redemption value may be more or less than original cost. While the money market funds seek to maintain a stable net asset value of $1.00 per share, there is no assurance that they will continue to do so. The estimated annual income and dividend yield figures for mutual funds represent the funds' most recent income dividend annualized. Prospectuses and other fund information for JPMorgan funds may be obtained b callin our J.P. Morgan team or JPMorgan Distribution Services, Inc. at ( . You also may view and order materials online for JPMorgan funds at www.jpmorganfunds.com. J.P. Morgan affiliates may receive compensation from the JPMorgan funds for providing investment advisory services to the funds. J.P. Morgan affiliates may also provide administrative, custodial, sales, distribution, shareholder or other services to the JPMorgan Funds or funds established, sponsored, advised, or managed by third parties, and J.P. Morgan affiliates may be compensated for such services as allowed by applicable law. The distributor of the JPMorgan Funds is JPMorgan Distribution Services, Inc., which is an affiliate of 3PMCB. Disclosures Page 4 of 5 EFTA01570996 For the Period 10/1/12 to 10/31/12 Assets may be reflected herein even though they may be held by a third party unaffiliated with J.P. Morgan. In such cases, unless J.P. Morgan otherwise agrees, J.P. Morgan has no responsibility for the verification, valuation, safekeeping or management of those assets. Disclosures Page 5 of 5 EFTA01570997 EFTA01570998