EFTA Document EFTA01564970

SCHAFER CULLEN CAPITAL MANAGEMENT ATTN CAROLYN ROY 645 FIFTH AVENUE FL 7 NEW YORK NY 10022 EFTA01564970 EFTA01564971 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Investment Management Account J.P. Morgan Team Kirsten Sichler Jason Bell Janet Young Gina Magliocco Online access Banker Investment Specialist Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for im ortant information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 Client News 2012 Year End Tax 1099's You will be able to view your 2012 Form 1099 on Morgan Online beginning Feb 22, 2013. Unless you have selected edelivery, you should expect to receive them via mail shortly thereafter. You may contact your J.P. Morgan Team with any questions. 0000002216.15.0.15.00003.SCHAOAP.20130204 Page 1 of 13 EFTA01564972 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 0.00 $0.00 0.00 $0.00 Ending Market Value 994,948.63 $994,948.63 1.08 $994,949.71 Current Portfolio Activity Beginning Market Value Contributions Net Contributions/Withdrawals Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 0.00 1,000,000.00 $1,000,000.00 (5,051.37) $994,948.63 1.08 $994,949.71 Change In Value 994,948.63 $994,948.63 1.08 $994,949.71 Year-to-Date Value 0.00 1,000,000.00 $1,000,000.00 (5,051.37) $994,948.63 1.08 EFTA01564973 $994,949.71 Estimated 34,174.21 $34,174.21 Current Annual Income Allocation 100% 100% Page 2 of 13 EFTA01564974 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Account Summary CONTINUED Tax Summary Unrealized Gain/Loss Cost Summary Equity Total 1,000,000.00 Cost $1,000,000.00 To-Date Value ($5,051.37) Page 3 of 13 EFTA01564975 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Equity Summary Asset Categories EAFE Equity Beginning Market Value 0.00 Ending Market Value 994,948.63 Change In Value 994,948.63 Current Allocation 100% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 994,948.63 1,000,000.00 (5,051.37) 34,174.21 1.08 3.43% Page 4 of 13 EFTA01564976 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Note: P 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 P P P P P P P 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 BAYER A G SPONS ADR 072730-30-2 BAYR BHP LTD SPONS ADR 088606-10-8 BHP BOC HONG KONG HOLDINGS LTD SPONS ADR 096813-20-9 BHKL BRITISH AMERICAN TOBACCO PLC SPONS ADR 110448-10-7 BTI 103.90 340.000 35,326.00 35,393.08 (67.08) 1,432.08 4.05% 68.98 400.000 EFTA01564977 27,593.20 27,815.96 (222.76) 1,121.60 4.06% 78.72 320.000 25,190.40 25,126.50 63.90 716.80 2.85% 21.54 98.66 1,130.000 200.000 24,336.81 19,731.20 25,040.80 19,912.00 (703.99) (180.80) 1,301.76 312.00 5.35% 1.58% 48.18 350.000 16,863.00 17,545.50 (682.50) 980.00 5.81% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 21.41 1,280.000 27,404.80 27,613.70 (208.90) 887.04 3.24% Page 5 of 13 EFTA01564978 EFTA01564979 GHISLAINE MAXWELL - OAP IHD ACCT. For t!!.11111/1/13 to 1/31/13 Price EAFE Equity P COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD 204409-60-1 CIG AAA /P-2 P P P P P P P P COST OF PENDING PURCHASES DEUTSCHE POST AG SPONS ADR 25157Y-20-2 DPSG DIAGEO P L C SPONS ADR NEW 25243Q-20-5 DEO GDF SUEZ SPONS ADR 361608-10-5 GDFZ GLAXOSMITHKLINE PLC SPONS ADR 37733W-10-5 GSK HSBC HOLDINGS PLC SPONS ADR 404280-40-6 HBC ISRAEL CHEMICALS LTD ADR 465036-20-0 ISCH LUKOIL OAO SPONS ADR MTN GROUP LTD 677862-10-4 LUKO 19.60 SPONS ADR 62474M-10-8 MTNO Page 6 of 13 1,660.000 32,537.66 32,502.80 34.86 2,040.14 6.27% 67.30 410.000 EFTA01564980 27,594.23 27,482.30 111.93 1,252.14 4.54% 13.22 1,850.000 24,462.55 24,845.50 (382.95) 1,137.75 4.65% 56.86 570.000 32,410.20 32,437.90 (27.70) 1,168.50 3.61% 45.61 330.000 15,051.30 15,052.95 (1.65) 765.27 5.08% 20.51 720.000 14,767.20 14,960.95 (193.75) 1,517.76 10.28% 119.30 80.000 9,544.00 9,456.78 87.22 229.76 2.41% 1.00 23.48 (965,805.920) 1,260.000 (965,805.92) 29,579.76 (965,805.92) 30,114.00 (534.24) 10.98 890.000 EFTA01564981 9,772.20 9,975.21 (203.01) 525.99 5.38% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01564982 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Price EAFE Equity P MUENCHENER RUECKVERSICHERUNGS GESELLSCHAFT ADR P P P P P P P P 626188-10-6 MURG NESTLE S A SPONS ADR REPSTG REG SH 641069-40-6 NSRG NOVARTIS A G ADR 66987V-10-9 NVS PETROCHINA CO LTD ADR 71646E-10-0 PTR RECKITT BENCKISER GROUP PLC SPONSORED ADR 756255-20-4 RBGL ROCHE HOLDINGS LTD SPONS ADR 771195-10-4 RHHB ROYAL DUTCH SHELL PLC ADR 780259-10-7 RDS SANOFI 80105N-10-5 SNY SIEMENS A G SPONS ADR 826197-50-1 SI 72.72 48.68 109.52 300.000 720.000 250.000 21,816.00 35,049.60 27,380.00 22,375.65 35,103.55 EFTA01564983 27,527.50 (559.65) (53.95) (147.50) 1,032.00 1,030.32 735.50 4.73% 2.94% 2.69% 55.30 550.000 30,414.45 30,299.50 114.95 848.10 2.79% 13.32 2,590.000 34,509.16 35,120.40 (611.24) 924.63 2.68% 142.20 170.000 24,174.00 24,512.78 (338.78) 760.41 3.15% 67.82 590.000 40,013.80 40,047.61 (33.81) 1,242.54 3.11% 70.18 570.000 40,003.17 39,991.20 11.97 1,010.04 2.52% 18.37 1,650.000 30,315.45 30,162.00 153.45 904.20 EFTA01564984 2.98% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 7 of 13 EFTA01564985 GHISLAINE MAXWELL - OAP IHD ACCT. For tli!!!!III/1/13 to 1/31/13 Price EAFE Equity P P P P SINGAPORE TELECOMMUNICATIONS LTD ADR 82929R-30-4 SGAP SMITHS GROUP PLC SPONSORED ADR 83238P-20-3 SMGZ STATOIL ASA SPONS ADR 85771P-10-2 STO TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR 874039-10-0 TSM P P P P P TELEKOMUNIKASI IND SPONS ADR 715684-10-6 TLK TESCO PLC SPONS ADR 881575-30-2 TSCD TOTAL SA SPONS ADR 89151E-10-9 TOT UNILEVER N V 904784-70-9 UN UNITED OVERSEAS BANK LTD SPONS ADR 911271-30-2 UOVE US DOLLAR 40.48 30.46 1.00 930.000 900.000 1,000,000.000 37,646.40 27,411.30 1,000,000.00 EFTA01564986 37,665.00 27,486.00 1,000,000.00 (18.60) (74.70) 1,224.81 857.70 100.00 1.08 3.25% 3.13% 0.01% Page 8 of 13 16.95 54.29 870.000 460.000 14,743.89 24,973.40 14,972.70 25,092.04 (228.81) (118.64) 573.33 1,156.44 3.89% 4.63% 39.65 760.000 30,134.00 29,976.22 157.78 833.72 2.77% 17.74 1,130.000 20,046.20 20,114.00 (67.80) 449.74 2.24% 26.53 950.000 25,203.50 25,206.64 (3.14) 858.80 3.41% 28.28 19.45 1,060.000 EFTA01564987 1,270.000 29,972.56 24,705.31 29,955.60 25,082.50 16.96 (377.19) 1,308.04 746.76 4.36% 3.02% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01564988 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Price EAFE Equity P P VODAFONE GROUP PLC SPONS ADR 92857W-20-9 VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity 989825-10-4 ZURV $994,948.63 $1,000,000.00 ($5,051.37) $34,174.21 $1.08 3.43% 28.75 1,050.000 30,190.65 29,893.50 297.15 27.32 1,460.000 39,887.20 39,945.60 (58.40) 2,188.54 5.49% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 9 of 13 EFTA01564989 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Contributions Ending Cash Balance Current Period Value 0.00 1,000,000.00 $1,000,000.00 $1,000,000.00 * Year to date information is calculated on a calendar year basis. Your account's standing instructions use a HIGH COST method for relieving assets from your position Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Contributions 1/28 Misc Receipt Description FUNDS TRANSFERRED FROM PRN A/C# TO PRN A/C# AS REQUESTED Quantity Cost Amount 1,000,000.00 Year-To-Date Value* -1,000,000.00 $1,000,000.00 -Page 10 of 13 EFTA01564990 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 TRADE ACTIVITY Trade Date Est. Settle Date Type Pending Securities Purchased 1/29 Purchase 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 Page 11 of 13 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description ABB LTD SPONS ADR (ID: 000375-20-4) ASTRAZENECA PLC SPONS ADR (ID: 046353-10-8) BAE SYSTEMS PLC SPONS ADR (ID: 05523R-10-7) BAYER A G SPONS ADR (ID: 072730-30-2) EFTA01564991 BHP LTD SPONS ADR (ID: 088606-10-8) BOC HONG KONG HOLDINGS LTD SPONS ADR (ID: 096813-20-9) BRITISH AMERICAN TOBACCO PLC SPONS ADR (ID: 110448-10-7) COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD (ID: 204409-60-1) DEUTSCHE POST AG SPONS ADR (ID: 25157Y-20-2) DIAGEO P L C SPONS ADR NEW (ID: 25243Q-20-5) GDF SUEZ SPONS ADR (ID: 361608-10-5) GLAXOSMITHKLINE PLC SPONS ADR (ID: 37733W-10-5) HSBC HOLDINGS PLC SPONS ADR (ID: 404280-40-6) Quantity 1,280.000 350.000 1,130.000 200.000 320.000 400.000 340.000 890.000 1,260.000 80.000 720.000 330.000 570.000 Per Unit Amount 21.533 50.09 22.12 99.52 78.48 69.499 104.057 11.178 23.86 118.169 20.697 45.575 56.868 Market Cost (27,613.70) (17,545.50) (25,040.80) (19,912.00) (25,126.50) (27,815.96) (35,393.08) (9,975.21) (30,114.00) EFTA01564992 (9,456.78) (14,960.95) (15,052.95) (32,437.90) EFTA01564993 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Trade Date Est. Settle Date Type Pending Securities Purchased 1/29 Purchase 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description ISRAEL CHEMICALS LTD ADR (ID: 465036-20-0) MTN GROUP LTD SPONS ADR (ID: 62474M-10-8) MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR (ID: 626188-10-6) NESTLE S A SPONS ADR REPSTG REG SH (ID: 641069-40-6) EFTA01564994 NOVARTIS A G ADR (ID: 66987V-10-9) LUKOIL OAO SPONS ADR (ID: 677862-10-4) TELEKOMUNIKASI IND SPONS ADR (ID: 715684-10-6) PETROCHINA CO LTD ADR (ID: 71646E-10-0) RECKITT BENCKISER GROUP PLC SPONSORED ADR (ID: 756255-20-4) ROCHE HOLDINGS LTD SPONS ADR (ID: 771195-10-4) ROYAL DUTCH SHELL PLC ADR (ID: 780259-10-7) SANOFI (ID: 80105N-10-5) SIEMENS A G SPONS ADR (ID: 826197-50-1) Quantity 1,850.000 1,660.000 1,650.000 570.000 590.000 410.000 760.000 170.000 2,590.000 550.000 300.000 720.000 250.000 Per Unit Amount 13.40 19.55 18.25 70.12 67.837 66.99 39.402 144.152 13.53 55.05 74.545 48.617 110.07 Market Cost (24,845.50) (32,502.80) (30,162.00) (39,991.20) (40,047.61) (27,482.30) (29,976.22) (24,512.78) (35,120.40) (30,299.50) (22,375.65) EFTA01564995 (35,103.55) (27,527.50) Page 12 of 13 EFTA01564996 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/13 to 1/31/13 Trade Date Est. Settle Date Type Pending Securities Purchased 1/29 Purchase 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 1/29 2/1 Total Pending Securities Purchased ($965,805.92) Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description SINGAPORE TELECOMMUNICATIONS LTD ADR (ID: 82929R-30-4) SMITHS GROUP PLC SPONSORED ADR (ID: 83238P-20-3) STATOIL ASA SPONS ADR (ID: 85771P-10-2) TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR (ID: 874039-10-0) TESCO PLC SPONS ADR (ID: 881575-30-2) TOTAL SA SPONS ADR (ID: 89151E-10-9) UNILEVER N V (ID: 904784-70-9) UNITED OVERSEAS BANK LTD SPONS ADR (ID: 911271-30-2) VODAFONE GROUP PLC SPONS ADR (ID: 92857W-20-9) ZURICH INSURANCE GROUP-ADR (ID: 989825-10-4) EFTA01564997 Quantity 1,060.000 1,270.000 950.000 1,130.000 870.000 460.000 930.000 900.000 1,460.000 1,050.000 Per Unit Amount 28.22 19.72 26.493 17.77 17.18 54.399 40.46 30.50 27.32 28.43 Market Cost (29,955.60) (25,082.50) (25,206.64) (20,114.00) (14,972.70) (25,092.04) (37,665.00) (27,486.00) (39,945.60) (29,893.50) Page 13 of 13 EFTA01564998 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01564999 For the Period 1/1/13 to 1/31/13 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 EFTA01565000 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 EFTA01565001 For the Period 1/1/13 to 1/31/13 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 EFTA01565002 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 EFTA01565003