EFTA Document EFTA01566268

SCHAFER CULLEN CAPITAL MANAGEMENT ATTN CAROLYN ROY 645 FIFTH AVENUE FL 7 NEW YORK NY 10022 EFTA01566268 EFTA01566269 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD 270 P , New York, NY 10017-2014 ACCT. For the Period 8/1/13 to 8/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 0000001689.00.0.PD.00003.SCHAOAP.20130904 Page 1 of 16 EFTA01566270 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,779,758.70 $1,779,758.70 3,867.54 $1,783,626.24 Ending Market Value 1,730,444.30 $1,730,444.30 3,820.64 $1,734,264.94 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 (291.74) ($291.74) 5,395.07 (54,417.73) $1,730,444.30 3,820.64 $1,734,264.94 Period Value 1,779,758.70 Change In Value (49,314.40) ($49,314.40) (46.90) ($49,361.30) Year-to-Date Value 0.00 1,750,000.00 (10,381.58) EFTA01566271 $1,739,618.42 38,342.65 (47,516.77) $1,730,444.30 3,820.64 $1,734,264.94 Estimated 60,175.87 $60,175.87 Current Annual Income Allocation 100% 100% Page 2 of 16 EFTA01566272 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 5,394.26 0.81 $5,395.07 Year-to-Date Value 38,338.43 4.22 $38,342.65 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (16,902.76) ($16,902.76) Year-to-Date Value (22,811.77) 4.44 ($22,807.33) Unrealized Gain/Loss To-Date Value ($24,709.44) Cost Summary Equity Total 1,755,153.74 Cost $1,755,153.74 Page 3 of 16 EFTA01566273 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,779,758.70 Ending Market Value 1,730,444.30 Change In Value (49,314.40) Current Allocation 100% Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,730,444.30 1,755,153.74 (24,709.44) 60,175.87 3,820.64 3.47% Page 4 of 16 EFTA01566274 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Note: This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account Equity Detail Price EAFE Equity ABB LTD SPONS ADR 000375-20-4 ABB ALSTOM ADR 021244-20-7 ALSM Y ASTRAZENECA PLC SPONS ADR 046353-10-8 AZN BAE SYSTEMS PLC SPONS ADR 05523R-10-7 BAES Y BAYER A G SPONS ADR 072730-30-2 BAYR Y BHP LTD SPONS ADR 088606-10-8 BHP BOC HONG KONG HOLDINGS LTD SPONS ADR 096813-20-9 BHKL Y 63.06 555.000 34,998.86 36,821.52 (1,822.66) 1,748.80 5.00% 63.28 435.000 27,526.80 32,227.68 (4,700.88) 1,009.20 3.67% 26.92 110.82 1,735.000 325.000 46,709.67 EFTA01566275 36,014.88 39,277.38 32,896.77 7,432.29 3,118.11 2,026.48 586.62 4.34% 1.63% 3.51 49.21 12,070.000 365.000 42,377.77 17,961.65 44,210.81 18,351.75 (1,833.04) (390.10) 869.04 1,022.00 295.65 2.05% 5.69% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 21.41 2,200.000 47,102.00 47,460.92 (358.92) 1,548.80 3.29% Page 5 of 16 EFTA01566276 GHISLAINE MAXWELL - OAP IHD ACCT For the Period 8/1/13 to 8/31/13 Price EAFE Equity BRITISH AMERICAN TOBACCO PLC SPONS ADR 110448-10-7 BTI DEUTSCHE POST AG SPONS ADR 25157Y-20-2 DPSG Y GDF SUEZ SPONS ADR 36160B-10-5 GDFZ Y GLAXOSMITHKLINE PLC SPONS ADR 37733W-10-5 GSK HSBC HOLDINGS PLC SPONS ADR 404280-40-6 HBC IMPERIAL TOBACCO PLC ADR 453142-10-1 ITYB Y ISRAEL CHEMICALS LTD ADR 465036-20-0 ISCH Y KIRIN HOLDINGS COMPANY LTD SPONS ADR 497350-30-6 KNBW Y LUKOIL OAO SPONS ADR MTN GROUP LTD 677862-10-4 LUKO Y 18.34 SPONS ADR 62474M-10-8 MTNO Y Page 6 of 16 2,625.000 48,150.38 49,970.21 (1,819.83) 1,916.25 3.98% 57.79 1,035.000 59,810.58 64,776.50 (4,965.92) 2,431.21 4.06% 13.76 3,010.000 41,414.59 EFTA01566277 48,510.86 (7,096.27) 800.66 334.19 1.93% 6.97 1,650.000 11,495.55 20,449.05 (8,953.50) 858.00 174.11 7.46% 65.96 515.000 33,969.40 36,270.85 (2,301.45) 1,739.15 5.12% 52.42 1,145.000 60,020.90 62,810.83 (2,789.93) 2,690.75 4.48% 50.89 1,015.000 51,653.35 48,412.36 3,240.99 2,407.58 505.36 4.66% 28.83 21.63 2,015.000 1,980.000 58,082.38 42,817.50 47,293.82 42,100.10 10,788.56 717.40 1,787.30 2,665.08 3.08% 6.22% 101.57 590.000 EFTA01566278 59,926.30 62,046.30 (2,120.00) 2,498.06 721.68 4.17% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01566279 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Price EAFE Equity MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR 626188-10-6 MURG Y NESTLE S A SPONS ADR REPSTG REG SH 641069-40-6 NSRG Y NIPPON TEL & TEL CORP ADR 654624-10-5 NTT NOVARTIS A G ADR 66987V-10-9 NVS RECKITT BENCKISER GROUP PLC SPONSORED ADR 756255-20-4 RBGL Y ROCHE HOLDINGS LTD SPONS ADR 771195-10-4 RHHB Y ROYAL DUTCH SHELL PLC ADR 780259-10-7 RDS B SANOFI 80105N-10-5 SNY SIEMENS A G SPONS ADR 826197-50-1 SI 67.15 47.78 106.16 400.000 1,195.000 500.000 26,860.00 57,097.10 53,080.00 27,957.37 60,068.51 52,917.17 (1,097.37) (2,971.41) 162.83 1,440.00 328.05 1,499.72 1,471.00 5.36% EFTA01566280 2.63% 2.77% 13.57 62.23 3,540.000 700.000 48,023.64 43,562.40 48,749.99 39,379.81 (726.35) 4,182.59 1,423.08 542.60 1,136.80 2.96% 2.61% 25.38 72.98 2,210.000 975.000 56,089.80 71,155.50 58,374.87 68,101.01 (2,285.07) 3,054.49 1,818.83 2,005.57 3.24% 2.82% 65.48 1,055.000 69,077.18 73,413.83 (4,336.65) 1,915.88 2.77% 18.18 2,835.000 51,551.64 53,062.46 (1,510.82) 1,757.70 3.41% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss EFTA01566281 Est. Annual Inc. Accrued Div. Yield Page 7 of 16 EFTA01566282 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Price EAFE Equity SINGAPORE TELECOMMUNICATIONS LTD ADR 82929R-30-4 SGAP Y SMITHS GROUP PLC SPONSORED ADR 83238P-20-3 SMGZ Y STATOIL ASA SPONS ADR 85771P-10-2 STO TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR 874039-10-0 TSM TELEKOMUNIKASI IND SPONS ADR 715684-10-6 TLK TESCO PLC SPONS ADR 881575-30-2 TSCD Y 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 Y US DOLLAR 37.63 31.16 1.00 1,630.000 1,590.000 43,691.470 61,336.90 49,539.63 43,691.47 66,467.39 50,517.66 43,691.47 (5,130.49) (978.03) 1,861.46 417.45 1,512.09 501.06 4.36 EFTA01566283 0.49 3.03% 3.05% 0.01% Page 8 of 16 17.01 55.31 2,225.000 1,070.000 37,849.48 59,181.70 37,696.35 54,046.70 153.13 5,135.00 1,430.67 2,806.61 3.78% 4.74% 37.06 690.000 25,571.40 27,215.25 (1,643.85) 841.11 3.29% 16.56 830.000 13,744.80 14,793.04 (1,048.24) 332.83 2.42% 21.95 1,450.000 31,827.50 35,974.62 (4,147.12) 1,245.55 3.91% 27.49 19.83 1,765.000 1,685.000 48,523.38 33,415.24 51,172.92 33,034.06 (2,649.54) 381.18 2,285.67 EFTA01566284 997.52 4.71% 2.99% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01566285 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Price EAFE Equity VODAFONE GROUP PLC SPONS ADR 92857W-20-9 VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity 989825-10-4 ZURV Y $1,730,444.30 $1,755,153.74 ($24,709.44) $60,175.87 $3,820.64 3.48% 24.84 2,025.000 50,298.98 55,630.28 (5,331.30) 32.35 2,440.000 78,934.00 69,001.27 9,932.73 3,784.44 4.79% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Page 9 of 16 EFTA01566286 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Withdrawals Fees & Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 92,930.14 (85,661.17) $7,268.97 $43,691.47 * 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 139,205.59 (1,873,475.19) ($1,734,269.60) -Current Period Value 31,319.17 5,395.07 $5,395.07 (92.90) (198.84) ($291.74) Year-To-Date Value* -38,342.65 1,750,000.00 $1,788,342.65 (688.31) (6,121.75) (3,571.52) ($10,381.58) Current Cost Adjustments EFTA01566287 Cost Adjustments Total Cost Adjustments Period Value 498.20 $498.20 Year-To-Date Value* 2,151.19 $2,151.19 Page 10 of 16 EFTA01566288 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method Income 8/1 8/9 8/22 8/23 8/30 Interest Income Foreign Dividend Foreign Dividend Foreign Dividend Foreign Dividend Total Income Type Settle Date Selection Method Withdrawals 8/9 8/22 Expenses Expenses Description VODAFONE GROUP PLC SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE AS OF 08/07/13 (ID: 92857W-20-9) LUKOIL OAO SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE AS OF 08/20/13 (ID: 677862-10-4) Quantity Cost Description DEPOSIT SWEEP INTEREST FOR 07/01/13 - 07/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $104,273.52 AS OF 08/01/13 VODAFONE GROUP PLC SPONS ADR @ 1.062635 PER SHARE AS OF 08/07/13 (ID: 92857W-20-9) LUKOIL OAO SPONS ADR GROSS RATE 1.506759 AS OF 08/20/13 (ID: 677862-10-4) IMPERIAL TOBACCO PLC ADR @ 1 098944 PER SHARE (ID: 453142-10-1) SINGAPORE TELECOMMUNICATIONS LTD ADR @ 0.780213 PER SHARE (ID: 82929R-30-4) 2,000.000 880.000 515.000 1,765.000 1.063 1.507 1.099 EFTA01566289 0.78 2,125.27 1,325.95 565.96 1,377.08 $5,395.07 Quantity Cost Per Unit Amount Amount 0.81 Amount (40.00) (17.60) Page 11 of 16 EFTA01566290 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Type Settle Date Selection Method Withdrawals 8/30 Expenses Total Withdrawals Tax Payments 8/22 8/22 Description SINGAPORE TELECOMMUNICATIONS LTD ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: 82929R-30-4) Quantity Cost Amount (35.30) ($92.90) FGN Tax Withheld FGN Tax Withheld Total Tax Payments TRADE ACTIVITY Note: Trade Date Settle Date 7/31 8/5 8/6 8/9 LUKOIL OAO SPONS ADR TAX WITHHELD RUSSIA 15.00% AS OF 08/20/13 (ID: 677862-10-4) (198.89) SANOFI ADDITIONAL RATE CHANGE FOR DIVIDEND PAYABLE 06/05/2013 AS OF 07/29/13 (ID: 80105N-10-5) ($198.84) 0.05 S indicates Short Term Realized Gain/Loss * Settled transaction was initiated in prior statement period and settled in current statement period Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost PETROCHINA CO LTD ADR @ 117.5488 28,799.46 BROKERAGE 9.80 TAX &/OR SEC .51 ESI SECURITIES COMPANY (ID: 71646E-10-0) EFTA01566291 ISRAEL CHEMICALS LTD ADR @ 7.7855 6,734.46 BROKERAGE 17.30 TAX &/OR SEC .12 ESI SECURITIES COMPANY (ID: 465036-20-0) (865.000) 7.765 6,717.04 (11,631.86) (4,914.82) S Quantity (245.000) Per Unit Amount 117.507 Proceeds 28,789.15 Tax Cost (33,346.03) Realized Gain/Loss (4,556.88) S* Page 12 of 16 EFTA01566292 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Trade Date Settle Date 8/6 8/9 8/7 8/12 8/7 8/12 8/8 8/13 8/16 8/21 8/16 8/21 8/16 8/21 8/19 8/22 8/20 8/23 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost ROYAL DUTCH SHELL PLC ADR @ 66.9621 6,696.21 BROKERAGE 4.00 TAX &/OR SEC .12 ESI SECURITIES COMPANY WASH SALE ADJUSTMENT 08/09/13 (ID: 780259-10-7) ISRAEL CHEMICALS LTD ADR @ 7.8068 5,386.69 BROKERAGE 13.80 TAX &/OR SEC .10 ESI SECURITIES COMPANY (ID: 465036-20-0) ROYAL DUTCH SHELL PLC ADR @ 67.1803 5,038.52 EFTA01566293 BROKERAGE 3.00 TAX &/OR SEC .09 ESI SECURITIES COMPANY (ID: 780259-10-7) ISRAEL CHEMICALS LTD ADR @ 7.9179 3,840.18 BROKERAGE 9.70 TAX &/OR SEC .07 ESI SECURITIES COMPANY (ID: 465036-20-0) BOC HONG KONG HOLDINGS LTD SPONS ADR @ 63.8153 14,358.44 BROKERAGE 9.00 TAX &/OR SEC .25 ESI SECURITIES COMPANY (ID: 096813-20-9) TELEKOMUNIKASI IND SPONS ADR @ 43.9722 659.58 BROKERAGE 0.60 TAX &/OR SEC .02 ESI SECURITIES COMPANY (ID: 715684-10-6) TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS (135.000) ADR @ 16.0205 2,162.77 BROKERAGE 4.05 TAX &/OR SEC .04 ESI SECURITIES COMPANY (ID: 874039-10-0) ISRAEL CHEMICALS LTD ADR @ 7.7977 194.94 BROKERAGE 0.75 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 465036-20-0) ISRAEL CHEMICALS LTD ADR @ 7 626 152.52 BROKERAGE 0.60 TAX &/OR SEC 01 ESI SECURITIES COMPANY (ID: 465036-20-0) (20.000) 7.596 151.91 (268.60) (116.69) S (25.000) 7.767 194.18 (335.75) (141.57) S 15.99 2,158.68 (2,488.70) (330.02) S (15.000) 43.931 658.96 (732.90) (73.94) S (225.000) 63.774 14,349.19 (15,646.48) (1,297.29) S (485.000) 7.898 3,830.41 (6,513.55) (2,683.14) S (75.000) 67.139 EFTA01566294 5,035.43 (5,780.03) (744.60) S (690.000) 7.787 5,372.79 (9,266.70) (3,893.91) S Quantity (100.000) Per Unit Amount 66.921 Proceeds 6,692.09 Tax Cost (6,960.35) Realized Gain/Loss (268.26) S Page 13 of 16 EFTA01566295 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Trade Date Settle Date 8/20 8/23 8/20 8/23 8/21 8/26 8/21 8/26 8/22 8/27 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost ROCHE HOLDINGS LTD SPONS ADR @ 65.5582 5,900.24 BROKERAGE 3.60 TAX &/OR SEC .11 ESI SECURITIES COMPANY (ID: 771195-10-4) ROYAL DUTCH SHELL PLC ADR @ 66.492 332.46 BROKERAGE 0.20 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 780259-10-7) ISRAEL CHEMICALS LTD ADR @ 7.4761 112.14 BROKERAGE 0.45 TAX &/OR SEC .01 ESI SECURITIES COMPANY (ID: 465036-20-0) ROCHE HOLDINGS LTD SPONS ADR @ 64.6613 3,233.07 BROKERAGE 2.00 TAX &/OR SEC .06 ESI SECURITIES COMPANY (ID: 771195-10-4) TELEKOMUNIKASI IND SPONS ADR @ 34.8482 9,409.01 TAX &/OR SEC .17 ESI SECURITIES COMPANY (ID: 715684-10-6) Total Settled Sales/Maturities/Redemptions $92,930.14 ($114,389.78) ($21,459.64) S (270.000) 34.848 9,408.84 (11,977.12) (2,568.28) S EFTA01566296 (50.000) 64.62 3,231.01 (3,066.01) 165.00 S (15.000) 7.445 111.68 (201.45) (89.77) S (5.000) 66.45 332.25 (372.93) (40.68) S Quantity (90.000) Per Unit Amount 65.517 Proceeds 5,896.53 Tax Cost (5,801.32) Realized Gain/Loss 95.21 S Trade Date Settle Date Type Description Settled Securities Purchased 8/5 Purchase 8/8 8/6 8/9 Purchase KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 15.6259 6,250.36 BROKERAGE 12.00 ESI SECURITIES COMPANY (ID: 497350-30-6) KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 15.8585 6,898.45 BROKERAGE 13.05 ESI SECURITIES COMPANY (ID: 497350-30-6) Page 14 of 16 435.000 15.889 (6,911.50) Quantity 400.000 Per Unit EFTA01566297 Amount 15.656 Market Cost (6,262.36) EFTA01566298 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Trade Date Settle Date Type Settled Securities Purchased 8/6 Purchase 8/9 8/16 8/21 8/19 8/22 8/20 8/23 8/21 8/26 8/21 8/26 8/22 8/27 8/22 8/27 8/23 8/28 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description NIPPON TEL & TEL CORP ADR @ 26.2692 13,397.29 BROKERAGE 20.40 ESI SECURITIES COMPANY (ID: 654624-10-5) ALSTOM ADR @ 3.6516 9,037.71 BROKERAGE 24.75 TAX &/OR SEC 18.08 ESI SECURITIES COMPANY (ID: 021244-20-7) ALSTOM ADR @ 3.6577 11,229.14 BROKERAGE 30.70 TAX &/OR SEC 22.46 ESI SECURITIES COMPANY (ID: 021244-20-7) ALSTOM ADR @ 3.6169 8,770.98 BROKERAGE 24.25 TAX &/OR SEC 17.55 ESI SECURITIES COMPANY (ID: 021244-20-7) ALSTOM ADR @ 3.6391 10,862.71 BROKERAGE 29.85 TAX &/OR SEC 21.73 ESI SECURITIES COMPANY (ID: 021244-20-7) GDF SUEZ SPONS ADR @ 22.1161 6,303.09 BROKERAGE 11.40 TAX &/OR SEC 12.61 ESI SECURITIES COMPANY EFTA01566299 (ID: 36160B-10-5) ALSTOM ADR @ 3.6829 2,209.74 BROKERAGE 6.00 TAX &/OR SEC 4.42 ESI SECURITIES COMPANY (ID: 021244-20-7) GDF SUEZ SPONS ADR @ 22.4237 3,139.32 BROKERAGE 5.60 TAX &/OR SEC 6.28 ESI SECURITIES COMPANY (ID: 36160B-10-5) ALSTOM ADR @ 3.6734 1,891.80 BROKERAGE 5.15 TAX &/OR SEC 3.79 ESI SECURITIES COMPANY (ID: 021244-20-7) 515.000 3.691 (1,900.74) 140.000 22.509 (3,151.20) 600.000 3.70 (2,220.16) 285.000 22.20 (6,327.10) 2,985.000 3.656 (10,914.29) 2,425.000 3.634 (8,812.78) 3,070.000 3.675 (11,282.30) 2,475.000 3.669 (9,080.54) Quantity 510.000 Per Unit Amount 26.309 Market Cost (13,417.69) Page 15 of 16 EFTA01566300 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 8/1/13 to 8/31/13 Trade Date Settle Date Type Settled Securities Purchased 8/23 Purchase 8/28 Total Settled Securities Purchased COST ADJUSTMENTS Settle Date Type Cost Adjustments 8/12 Wash Sale Adj Description ROYAL DUTCH SHELL PLC ADR TRADE DATE OF SALE : 08/06/13 (ID: 780259-10-7) Quantity 480.000 Cost Basis Adjustments 498.20 Description GDF SUEZ SPONS ADR @ 22.3341 5,360.18 BROKERAGE 9.60 TAX &/OR SEC 10.73 ESI SECURITIES COMPANY (ID: 36160B-10-5) ($85,661.17) Quantity 240.000 Per Unit Amount 22.419 Market Cost (5,380.51) Page 16 of 16 EFTA01566301 For the Period 8/1/13 to 8/31/13 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 EFTA01566302 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 EFTA01566303 For the Period 8/1/13 to 8/31/13 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 EFTA01566304 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 EFTA01566305