EFTA Document EFTA01565500

SCHAFER CULLEN CAPITAL MANAGEMENT ATTN CAROLYN ROY 645 FIFTH AVENUE FL 7 NEW YORK NY 10022 EFTA01565500 EFTA01565501 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for to each J.P.Morgan account(s). important information relating ante or on en s Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 0000000026.15.0.15.00003.SCHAOAP.20130502 Page 1 of 19 EFTA01565502 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,000,915.40 $1,000,915.40 4,385.75 $1,005,301.15 Ending Market Value 1,552,500.50 $1,552,500.50 7,120.95 $1,559,621.45 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 Period Value 1,000,915.40 500,000.00 (2,656.78) $497,343.22 6,156.49 48,085.39 $1,552,500.50 7,120.95 $1,559,621.45 Change In Value 551,585.10 $551,585.10 2,735.20 $554,320.30 Year-to-Date Value 0.00 1,500,000.00 EFTA01565503 (2,701.89) $1,497,298.11 7,746.69 47,455.70 $1,552,500.50 7,120.95 $1,559,621.45 Estimated 52,134.82 $52,134.82 Current Annual Income Allocation 100% 100% Page 2 of 19 EFTA01565504 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 6,156.18 0.31 $6,156.49 Year-to-Date Value 7,745.02 1.67 $7,746.69 Unrealized Gain/Loss To-Date Value $47,743.34 ST Realized Gain/Loss Realized Gain/Loss Current Period Value 87.03 $87.03 Year-to-Date Value (287.64) ($287.64) Cost Summary Equity Total 1,504,757.16 Cost $1,504,757.16 Page 3 of 19 EFTA01565505 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,000,915.40 Ending Market Value 1,552,500.50 Change In Value 551,585.10 Current Allocation 100% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,552,500.50 1,504,757.16 47,743.34 52,134.82 7,120.95 3.35% Page 4 of 19 EFTA01565506 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Note: indicates position adjusted for Pending Trade Activity. This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Equity Detail Price EAFE Equity ABB LTD SPONS ADR ABB ASTRAZENECA PLC SPONS ADR AZN BAE SYSTEMS PLC SPONS ADR 05523R-10-7 BAES Y BAYER A G SPONS ADR BAYR Y BHP LTD SPONS ADR BHP BOC HONG KONG HOLDINGS LTD SPONS ADR BHKL Y BRITISH AMERICAN TOBACCO PLC SPONS ADR BTI 111.02 490.000 54,399.80 51,491.86 2,907.94 2,041.83 861.58 3.75% 68.81 620.000 42,661.58 42,424.80 236.78 1,953.62 4.58% 67.22 350.000 EFTA01565507 23,527.00 27,042.45 (3,515.45) 23.38 104.44 1,620.000 295.000 37,870.74 30,810.69 36,304.63 29,579.20 1,566.11 1,231.49 1,901.88 706.82 532.47 389.27 798.00 5.02% 1.73% 3.39% 51.92 295.000 15,316.40 14,890.83 425.57 826.00 5.39% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 22.57 1,930.000 43,560.10 41,400.85 2,159.25 1,385.74 1,177.48 3.18% Page 5 of 19 EFTA01565508 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Price EAFE Equity COMPANHIA ENERGETICA DE MINAS GERAIS SPONS ADR REP NON VOTING PFD 204409-60-1 CIG AAA /P-2 COST OF PENDING PURCHASES DEUTSCHE POST AG SPONS ADR DPSG Y P DIAGEO P L C SPONS ADR NEW DEO GDF SUEZ SPONS ADR GDFZ Y GLAXOSMITHKLINE PLC SPONS ADR GSK HSBC HOLDINGS PLC SPONS ADR HBC P IMPERIAL TOBACCO PLC ADR ITYB Y ISRAEL CHEMICALS LTD ADR ISCH Y KIRIN HOLDINGS COMPANY LTD SPONS ADR KNBW Y Page 6 of 19 17.52 1,850.000 32,419.40 30,013.50 2,405.90 492.10 1.52% 11.90 3,750.000 44,621.25 48,666.96 (4,045.71) 2,073.75 178.17 4.65% 71.59 EFTA01565509 435.000 31,143.39 30,800.85 342.54 1,423.32 4.57% 54.86 1,000.000 54,860.00 54,849.63 10.37 2,250.00 461.70 4.10% 51.64 895.000 46,217.80 42,063.88 4,153.92 2,100.56 4.54% 21.49 1,100.000 23,639.00 22,910.32 728.68 1,457.50 671.32 6.17% 122.20 0.00 2.31% 1.00 23.76 (26,547.340) 1,980.000 (26,547.34) 47,038.86 (26,547.34) 46,372.75 666.11 12.83 890.000 11,418.70 9,975.21 1,443.49 611.43 5.35% Quantity Value Adjusted Tax Cost EFTA01565510 Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01565511 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Price EAFE Equity LUKOIL OAO SPONS ADR MTN GROUP LTD LUKO Y 18.01 SPONS ADR MTNO Y MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR MURG Y NESTLE S A SPONS ADR REPSTG REG SH NSRG Y NOVARTIS A G ADR NVS PETROCHINA CO LTD ADR PTR PROCEEDS FROM PENDING SALES RECKITT BENCKISER GROUP PLC SPONSORED ADR RBGL Y ROCHE HOLDINGS LTD SPONS ADR RHHB Y ROYAL DUTCH SHELL PLC ADR RDS B Page 7 of 19 69.79 515.000 35,941.85 36,534.71 (592.86) 1,771.60 4.93% 62.54 740.000 46,282.56 41,801.23 4,481.33 1.00 14.62 4,815.420 3,100.000 4,815.42 EFTA01565512 45,315.80 4,815.42 42,444.00 2,871.80 1,218.30 535.99 1,201.76 2.69% 2.60% 127.86 245.000 31,325.70 33,346.03 (2,020.33) 988.08 3.15% 73.76 830.000 61,220.80 57,450.63 3,770.17 20.02 2,300.000 46,046.00 42,865.73 3,180.27 1,426.00 1,042.74 71.48 860.000 61,471.94 60,267.42 1,204.52 1,571.22 885.28 1,707.31 3.10% 2,250.000 40,524.75 42,762.90 (2,238.15) 1,689.75 4.17% 63.71 880.000 56,061.28 55,350.56 710.72 2,687.52 4.79% Quantity EFTA01565513 Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 2.56% 2.79% EFTA01565514 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Price EAFE Equity SANOFI SNY SIEMENS A G SPONS ADR SI SINGAPORE TELECOMMUNICATIONS LTD ADR SGAP Y SMITHS GROUP PLC SPONSORED ADR SMGZ Y STATOIL ASA SPONS ADR STO TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR 874039-10-0 TSM TELEKOMUNIKASI IND SPONS ADR TLK TESCO PLC SPONS ADR TSCD Y TOTAL SA SPONS ADR TOT UNILEVER N V UN 42.48 1,375.000 58,410.00 55,943.06 2,466.94 1,498.75 2.57% Page 8 of 19 17.10 50.24 1,800.000 970.000 30,772.80 48,732.80 30,886.57 49,000.74 (113.77) (267.94) EFTA01565515 1,173.60 2,446.34 3.81% 5.02% 47.87 780.000 37,338.60 30,953.42 6,385.18 1,847.04 4.95% 19.08 800.000 15,264.00 14,240.00 1,024.00 318.40 2.09% 24.50 1,120.000 27,440.00 28,904.96 (1,464.96) 31.91 19.46 1,500.000 1,600.000 47,862.00 31,128.00 43,076.75 31,248.55 4,785.25 (120.55) 1,851.00 947.20 209.47 1,012.48 3.87% 3.04% 3.69% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 53.35 104.51 EFTA01565516 995.000 53,083.25 450.000 47,029.50 49,583.61 47,554.34 3,499.64 (524.84) 1,297.48 1,323.90 2.44% 2.82% EFTA01565517 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Price EAFE Equity UNITED OVERSEAS BANK LTD SPONS ADR UOVE Y US DOLLAR VODAFONE GROUP PLC SPONS ADR VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity ZURV Y $1,552,500.50 $1,504,757.16 $47,743.34 $52,134.82 $7,120.95 3.36% 27.95 1,735.000 48,486.31 47,875.71 610.60 34.67 1.00 30.59 1,340.000 57,353.310 2,000.000 46,456.46 57,353.31 61,180.00 42,222.66 57,353.31 56,034.47 5,145.53 4,233.80 1,305.16 5.73 1.13 2,998.00 2.81% 0.01% 4.90% Quantity Value Adjusted Tax Cost Original Cost Unrealized EFTA01565518 Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 9 of 19 EFTA01565519 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Withdrawals Fees & Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 15,298.95 (487,810.56) ($472,511.61) $57,353.31 * 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 32,544.87 (1,480,236.36) ($1,447,691.49) -Current Period Value 26,365.21 6,156.49 500,000.00 $506,156.49 (70.08) (1,971.64) (615.06) ($2,656.78) Year-To-Date Value* -7,746.69 1,500,000.00 $1,507,746.69 (70.08) (1,971.64) (660.17) ($2,701.89) Current EFTA01565520 Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value 1,652.99 $1,652.99 Year-To-Date Value* 1,652.99 $1,652.99 Page 10 of 19 EFTA01565521 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 4/1 4/5 4/11 4/11 4/11 4/12 4/12 4/22 Interest Income Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Total Income Description DEPOSIT SWEEP INTEREST FOR 03/01/13 - 03/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $25,583.73 AS OF 04/01/13 NOVARTIS A G ADR @ 2.42647 PER SHARE (ID: ) GLAXOSMITHKLINE PLC SPONS ADR @ 0.68948 PER SHARE (ID: ) TOTAL SA SPONS ADR @ 0.76036 PER SHARE (ID: ) ROCHE HOLDINGS LTD SPONS ADR GROSS RATE 1.9388 (ID: ) DIAGEO P L C SPONS ADR NEW @ 1.104679 PER SHARE (ID: ) MTN GROUP LTD SPONS ADR @ 0.54393 PER SHARE (ID: ) ZURICH INSURANCE GROUP-ADR @ 1.822079 PER SHARE (ID: ) 590.000 650.000 460.000 550.000 40.000 1,660.000 1,050.000 2.426 0.689 EFTA01565522 0.76 1.939 1.105 0.544 1.822 1,431.62 448.16 349.77 1,066.34 44.19 902.92 1,913.18 $6,156.49 Quantity Cost Per Unit Amount Amount 0.31 Page 11 of 19 EFTA01565523 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Type Settle Date Selection Method Contributions 4/19 Misc Receipt Description TRANSFER FROM MMIA A/C TO INVESTMENT MANAGEMENT A/C. Quantity Cost Amount 500,000.00 Type Settle Date Selection Method Withdrawals 4/9 4/11 4/12 4/22 Expenses Expenses Expenses Expenses Total Withdrawals Fees & Commissions 4/18 4/18 Description NOVARTIS A G ADR .005 DSC FEE FOR 04/05/2013 PAYMEN T AS OF 04/05/13 (ID: ) ROCHE HOLDINGS LTD SPONS ADR REPRESENTS @ .023 DEPOSITORY FEE (ID: ) MTN GROUP LTD SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: ) ZURICH INSURANCE GROUP-ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: ) Quantity Cost Amount (2.95) (12.93) (33.20) (21.00) ($70.08) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 01-28-2013 TO 03-31-2013 (1,279.10) Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT FEE FOR 01-29-2013 TO 03-31-2013 EFTA01565524 Total Fees & Commissions (692.54) ($1,971.64) Page 12 of 19 EFTA01565525 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Type Settle Date Selection Method Tax Payments 4/5 4/11 4/11 4/12 FGN Tax Withheld FGN Tax Withheld FGN Tax Withheld FGN Tax Withheld Total Tax Payments TRADE ACTIVITY Note: Trade Date Settle Date 4/3 4/8 4/4 4/9 4/4 4/9 Description NOVARTIS A G ADR TAX WITHHELD SWITZERLAND 15.00% (ID: ) TOTAL SA SPONS ADR TAX WITHHELD FRANCE 30.00% (ID: ) ROCHE HOLDINGS LTD SPONS ADR TAX WITHHELD SWITZERLAND 15.00% (ID: ) MTN GROUP LTD SPONS ADR TAX WITHHELD SOUTH AFRICA 15.00% (ID: ) Quantity Cost Amount (214.74) (104.93) (159.95) (135.44) ($615.06) S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost EFTA01565526 PETROCHINA CO LTD ADR @ 129.6562 4,537.97 BROKERAGE 1.40 TAX &/OR SEC .11 ESI SECURITIES COMPANY WASH SALE ADJUSTMENT 04/25/13 (ID: ) PETROCHINA CO LTD ADR @ 129.576 2,591.52 BROKERAGE 0.80 TAX &/OR SEC .06 ESI SECURITIES COMPANY WASH SALE ADJUSTMENT 04/25/13 (ID: ) STATOIL ASA SPONS ADR @ 24.0834 4,937.10 BROKERAGE 8.20 TAX &/OR SEC .12 ESI SECURITIES COMPANY WASH SALE ADJUSTMENT 04/25/13 (ID: ) Page 13 of 19 (205.000) 24.043 4,928.78 (4,928.78) (20.000) 129.533 2,590.66 (2,590.66) Quantity (35.000) Per Unit Amount 129.613 Proceeds 4,536.46 Tax Cost (4,536.46) Realized Gain/Loss EFTA01565527 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Trade Date Settle Date 4/5 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 4/10 High Cost STATOIL ASA SPONS ADR @ 24.0632 3,248.53 BROKERAGE 5.40 TAX &/OR SEC .08 ESI SECURITIES COMPANY WASH SALE ADJUSTMENT 04/25/13 (ID: ) Total Settled Sales/Maturities/Redemptions $15,298.95 ($15,298.95) $0.00 Quantity (135.000) Per Unit Amount 24.023 Proceeds 3,243.05 Tax Cost (3,243.05) Realized Gain/Loss Trade Date Settle Date Type Description Settled Securities Purchased 4/3 Purchase 4/8 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 Purchase Purchase Purchase EFTA01565528 Purchase Purchase KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 16.1472 20,184.00 BROKERAGE 37.50 ESI SECURITIES COMPANY (ID: ) ABB LTD SPONS ADR @ 21.171 13,761.15 BROKERAGE 26.00 ESI SECURITIES COMPANY (ID: ) ASTRAZENECA PLC SPONS ADR @ 51.2956 4,360.13 BROKERAGE 3.40 ESI SECURITIES COMPANY (ID: ) BAE SYSTEMS PLC SPONS ADR @ 22.9474 11,244.23 BROKERAGE 19.60 ESI SECURITIES COMPANY (ID: 05523R-10-7) BAYER A G SPONS ADR @ 101.72 9,663.40 BROKERAGE 3.80 ESI SECURITIES COMPANY (ID: ) BHP LTD SPONS ADR @ 63.825 1,914.75 BROKERAGE 1.20 ESI SECURITIES COMPANY (ID: ) 95.000 30.000 101.76 63.865 (9,667.20) (1,915.95) 490.000 22.987 (11,263 83) 650.000 85.000 21.211 51.336 (13,787.15) (4,363.53) Quantity 1,250.000 Per Unit Amount 16.177 Market Cost (20,221.50) Page 14 of 19 EFTA01565529 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Trade Date Settle Date Type Settled Securities Purchased 4/22 Purchase 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description BOC HONG KONG HOLDINGS LTD SPONS ADR @ 66.3638 14,600.04 BROKERAGE 8.80 ESI SECURITIES COMPANY (ID: ) BRITISH AMERICAN TOBACCO PLC SPONS ADR @ 107.2852 16,092.78 BROKERAGE 6.00 ESI SECURITIES COMPANY (ID: ) DEUTSCHE POST AG SPONS ADR @ 22.5416 16,229.95 BROKERAGE 28.80 ESI SECURITIES COMPANY (ID: ) GDF SUEZ SPONS ADR @ 20.8377 7,918.33 BROKERAGE 15.20 TAX EAR SEC 15.84 ESI SECURITIES COMPANY (ID: ) GLAXOSMITHKLINE PLC SPONS ADR @ 50.5905 12,394.67 BROKERAGE 9.80 ESI SECURITIES COMPANY (ID: ) HSBC HOLDINGS PLC SPONS ADR @ 52.0803 22,394.53 BROKERAGE 17.20 ESI SECURITIES COMPANY EFTA01565530 (ID: ) ISRAEL CHEMICALS LTD ADR @ 12.2857 18,858.55 BROKERAGE 46.05 ESI SECURITIES COMPANY (ID: ) KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 16.29 9,774.00 BROKERAGE 18.00 ESI SECURITIES COMPANY (ID: ) MTN GROUP LTD SPONS ADR @ 17.36 10,242.40 BROKERAGE 17.70 ESI SECURITIES COMPANY (ID: ) 590.000 17.39 (10,260.10) 600.000 16.32 (9,792.00) 1,535.000 12.316 (18,904.60) 430.000 52.12 (22,411.73) 245.000 50.63 (12,404.47) 380.000 20.919 (7,949.37) 720.000 22.582 (16,258.75) 150.000 107.325 (16,098.78) Quantity 220.000 Per Unit Amount 66.404 Market Cost (14,608.84) Page 15 of 19 EFTA01565531 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Trade Date Settle Date Type Settled Securities Purchased 4/22 Purchase 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR @ 19.5142 12,684.23 BROKERAGE 19.50 ESI SECURITIES COMPANY (ID: ) NESTLE S A SPONS ADR REPSTG REG SH @ 69.878 20,264.62 BROKERAGE 11.60 ESI SECURITIES COMPANY (ID: ) NOVARTIS A G ADR @ 72.4726 17,393.42 BROKERAGE 9.60 ESI SECURITIES COMPANY (ID: ) LUKOIL OAO SPONS ADR @ 58.6381 25,507.57 BROKERAGE 17.40 ESI SECURITIES COMPANY (ID: ) TELEKOMUNIKASI IND SPONS ADR @ 48.82 976.40 BROKERAGE 0.80 ESI SECURITIES COMPANY (ID: ) EFTA01565532 PETROCHINA CO LTD ADR @ 122.7321 15,955.17 BROKERAGE 5.20 ESI SECURITIES COMPANY (ID: ) RECKITT BENCKISER GROUP PLC SPONSORED ADR @ 14.33 7,308.30 BROKERAGE 15.30 ESI SECURITIES COMPANY (ID: ) ROCHE HOLDINGS LTD SPONS ADR @ 60.4954 11,494.13 BROKERAGE 7.60 ESI SECURITIES COMPANY (ID: ) ROYAL DUTCH SHELL PLC ADR @ 65.8161 14,150.46 BROKERAGE 8.60 ESI SECURITIES COMPANY (ID: ) SIEMENS A G SPONS ADR @ 100.0942 20,018.84 BROKERAGE 8.00 ESI SECURITIES COMPANY (ID: ) Page 16 of 19 200.000 100.134 (20,026 84) 215.000 65.856 (14,159.06) 190.000 60.535 (11,501.73) 510.000 14.36 (7,323.60) 130.000 122.772 (15,960.37) 20.000 48.86 (977.20) 240.000 435.000 72.513 58.678 (17,403.02) (25,524.97) 290.000 69.918 (20,276.22) Quantity 650.000 Per Unit Amount 19.544 Market Cost (12,703.73) EFTA01565533 EFTA01565534 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Trade Date Settle Date Type Settled Securities Purchased 4/22 Purchase 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/25 4/22 4/26 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description SINGAPORE TELECOMMUNICATIONS LTD ADR @ 29.7808 13,103.55 BROKERAGE 17.60 ESI SECURITIES COMPANY (ID: ) SMITHS GROUP PLC SPONSORED ADR @ 18.655 6,156.15 BROKERAGE 9.90 ESI SECURITIES COMPANY (ID: ) STATOIL ASA SPONS ADR @ 23.2348 11,849.75 BROKERAGE 20.40 ESI SECURITIES COMPANY (ID: ) TESCO PLC SPONS ADR @ 16.88 11,140.80 BROKERAGE 19.80 ESI SECURITIES COMPANY (ID: ) TOTAL SA SPONS ADR @ 46.7463 23,840.61 BROKERAGE 20.40 TAX &/OR SEC 47.69 ESI SECURITIES COMPANY (ID: ) EFTA01565535 UNILEVER N V @ 41.0343 18,260.26 BROKERAGE 17.80 ESI SECURITIES COMPANY (ID: ) UNITED OVERSEAS BANK LTD SPONS ADR @ 33.4524 14,719.06 BROKERAGE 17.60 ESI SECURITIES COMPANY (ID: ) VODAFONE GROUP PLC SPONS ADR @ 29.7542 16,067.27 BROKERAGE 21.60 ESI SECURITIES COMPANY (ID: ) ZURICH INSURANCE GROUP-ADR @ 26.2114 17,954.81 BROKERAGE 27.40 ESI SECURITIES COMPANY (ID: ) SANOFI @ 52.5097 14,440.17 BROKERAGE 11.00 TAX &/OR SEC 28.89 ESI SECURITIES COMPANY (ID: ) Page 17 of 19 275.000 52.655 (14,480 06) 685.000 26.251 (17,982 21) 540.000 29.794 (16,088 87) 445.000 440.000 41.074 33.492 (18,278 06) (14,736 66) 660.000 510.000 16.91 46.88 (11,160.60) (23,908.70) 510.000 23.275 (11,870.15) 330.000 18.685 (6,166.05) Quantity 440.000 Per Unit Amount 29.821 Market Cost (13,121.15) EFTA01565536 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 Trade Date Settle Date Type Settled Securities Purchased 4/25 Purchase 4/30 Total Settled Securities Purchased Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 4/26 5/1 DIAGEO P L C SPONS ADR NEW (ID: ) Quantity (40.000) Per Unit Amount 120.428 Description IMPERIAL TOBACCO PLC ADR @ 70.8518 4,251.11 BROKERAGE 2.40 ESI SECURITIES COMPANY (ID: ) ($487,810.56) Proceeds 4,815.42 Tax Cost (4,728.39) Realized Gain/Loss 87.03 S Quantity 60.000 Per Unit Amount 70.892 Market Cost (4,253.51) Trade Date Est. Settle Date Type Pending Securities Purchased 4/26 Purchase 5/1 Description IMPERIAL TOBACCO PLC ADR (ID: ) Quantity EFTA01565537 375.000 Per Unit Amount 70.752 Market Cost (26,547.34) Page 18 of 19 EFTA01565538 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 4/1/13 to 4/30/13 COST ADJUSTMENTS Settle Date Type Cost Adjustments 4/26 4/26 4/26 4/26 Wash Sale Adj Wash Sale Adj Wash Sale Adj Wash Sale Adj Total Cost Adjustments Description PETROCHINA CO LTD ADR TRADE DATE OF SALE : 04/03/13 TRADE DATE OF SALE : 04/04/13 (ID: STATOIL ASA SPONS ADR TRADE DATE OF SALE : 04/04/13 TRADE DATE OF SALE : 04/05/13 (ID: PETROCHINA CO LTD ADR (ID: STATOIL ASA SPONS ADR (ID: 245.000 1,120.000 (6,752.46) (7,913.43) $1,652.99 1,120.000 8,762.93 Quantity 245.000 Cost Basis Adjustments 7,555.95 Page 19 of 19 EFTA01565539 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01565540 For the Period 4/1/13 to 4/30/13 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 EFTA01565541 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 3 EFTA01565542 For the Period 4/1/13 to 4/30/13 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 ASSET ACCOUNT(S) (NOT LINKED TO JPMS) In Case of Errors or Questions About Your Electronic Transfers. Your Asset Account consists of a bank account that custodies assets. Contact your J.P. Morgan Team at one of the telephone numbers on the front of your statements or write us at at J.P. Morgan, 500 Stanton Christiana Road, 1/OPS3, Newark, DE 19713-2107 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 EFTA01565543 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. In Case of Other Errors or Questions About Your Asset Account Statement(s) 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. IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR INVESTMENT MANAGEMENT ACCOUNT(S) WHICH REFLECT ASSETS HELD AT JPMORGAN CHASE BANK, N.A. Disclosures Page 2 of 3 EFTA01565544 For the Period 4/1/13 to 4/30/13 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 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 3 of 3 EFTA01565545 EFTA01565546