EFTA Document EFTA01566500

GHISLAINE MAXWELL MIAMI FL 33139-1043 EFTA01566500 EFTA01566501 For the Period 9/1/13 to 9/30/13 Account Summary Account Number Investment Account(s) GHISLAINE MAXWELL GHISLAINE MAXWELL GHISLAINE MAXWELL - OAP IHD GHISLAINE MAXWELL - TAP DYS GHISLAINE MAXWELL - TAP ARFI Total Value i Beginning Net Market Value 5,139,274.77 430.00 1,734,264.94 997,197.48 987,444.55 $8,858,611.74 Ending Net Market Value 5,186,365.84 430.00 1,851,249.95 1,011,717.77 993,184.92 $9,042,948.48 This account summary is provided for informational purposes and includes assets at different entities. (1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit Insurance Corporation ("FDIC"), except for exchangelisted options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions are generally cleared through JPMCC, a wholly owned subsidiary of 3PMS. Please see "Additional Information About Your Accounts" at the end of the Asset Account Statement. (2) Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio Activity Detail". Such transactions are cleared and carried through JPMCC. Please see disclosures located at the end of this statement package for important information relating to each 3.P.Morgan account(s). 1 EFTA01566502 Change In Value 47,091.07 0.00 116,985.01 14,520.29 5,740.37 $184,336.74 Start on Page 4 38 43 56 71 Client News J.P. Morgan Securities LLC's (JPMS LLC) and J.P. Morgan Clearing Corp.'s (JPMCC) Net Capital and Net Capital Requirements At June 30, 2013, JPMS LLC's net capital of $13.8 billion exceeded the minimum regulatory net capital requirement of $1.8 billion by $12.0 billion. JPMCC's net capital of $6.7 billion was approximately 7.9% of aggregate debit items and exceeded the minimum regulatory net capital requirement of $1.7 billion by $5.0 billion. Complete copies of JPMS LLC's and JPMCC's individual unaudited Statement of Financial Condition may be obtained, at no cost, by accessing: http://investor.shareholder.com/jpmorganchase/financialcondition.cfm Additionally, you may call 1-866-576-1300 to request a hard copy of the statement. A misclassification occurred in your June and July month-end statements, whereby some taxable transactions were categorized as non-taxable and vice versa. All transaction details are now properly categorized in your account. Please note that this misclassification did not impact the transaction values or any holdings or market value(s) in your account(s). The impacted summary sections have been adjusted and display properly categorized values in the August month-end statements. If you would like an updated statement for June or July, please reach out to your J.P. Morgan team. 0000038632.00.0.9E.00001.MAXWE04.20131002 Consolidated Statement Page 1 EFTA01566503 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566504 For the Period 9/1/13 to 9/30/13 Consolidated Summary INVESTMENT ACCOUNTS Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 2,814,353.32 630,227.68 5,249,218.60 151,065.93 $8,844,865.53 13,746.21 $8,858,611.74 Ending Market Value 2,949,585.43 632,005.08 5,283,906.66 158,652.35 $9,024,149.52 18,798.96 $9,042,948.48 Change In Value 135,232.11 1,777.40 34,688.06 7,586.42 $179,283.99 5,052.75 $184,336.74 Estimated 115,497.91 12,725.90 68,779.19 Current Annual Income Allocation 33% 7% 58% 2% $197,003.00 100% Equity EFTA01566505 Alternative Assets Asset Allocation Other Cash & Fixed Income Current Portfolio Activity Beginning Market Value Net Contributions/Withdrawals Income & Distributions Change in Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 8,844,865.53 (348.62) 12,446.37 167,186.24 $9,024,149.52 18,798.96 $9,042,948.48 Year-to-Date Value 8,349,688.16 (298,017.14) 47,277.09 925,201.41 $9,024,149.52 18,798.96 $9,042,948.48 This Consolidated Summary shows all of your investments at J.P. Morgan other than investments we hold in trust for you. These investments may be held in custody or investment management account at JPMorgan Chase Bank, N.A. (the "Bank") or in a brokerage or margin account at J.P. Morgan Clearing Corp. ("JPMCC"). Brokerage and margin accounts are non-discretionary and all investment decisions are made by the client. J.P. Morgan Securities LLC ("JPMS") does not provide advice on asset allocation or investment management services, nor do its personnel take discretion over any client accounts. Such advice and services are provided exclusively by the Bank. Consolidated Statement Page 2 EFTA01566506 For the Period 9/1/13 to 9/30/13 Consolidated Summary INVESTMENT ACCOUNT(S) YEAR-TO-DATE Portfolio Activity GHISLAINE MAXWELL GHISLAINE MAXWELL GHISLAINE MAXWELL - OAP IHD GHISLAINE MAXWELL - TAP DYS GHISLAINE MAXWELL - TAP ARFI Total Value Tax Summary GHISLAINE MAXWELL GHISLAINE MAXWELL - OAP IHD GHISLAINE MAXWELL - TAP DYS GHISLAINE MAXWELL - TAP ARFI Total Value Account Number Account Number i Beginning Market Value 8,349,258.16 430.00 0.00 0.00 0.00 $8,349,688.16 Taxable Income (36,562.61) 41,923.62 21,390.50 13,058.33 $39,809.84 Net Contributions/ Withdrawals (4,031,823.72) 1,739,269.80 996,867.73 997,669.05 ($298,017.14) EFTA01566507 Tax-Exempt Income 5,193.25 1,108.27 1,165.73 $7,467.25 'Unrealized Gain/Loss represents data from the time of account inception to the current statement period. (20,468.38) (3,978.62) (2,552.55) ($26,999.55) Other Income & Receipts Income & Distributions (31,369.36) 41,923.62 22,498.77 14,224.06 $47,277.09 Change in Investment Value 886,179.03 65,709.70 (7,712.36) (18,974.96) $925,201.41 Realized Gain/Loss Short-term Long-term (70,239.07) 4.44 30.78 ($70,203.85) Ending Market Value with Accruals 5,186,365.84 430.00 1,851,249.95 1,011,717.77 993,184.92 $9,042,948.48 Unrealized Gain/Loss' 27,617.89 86,173.64 (3,764.52) (16,422.41) $93,604.60 CONTINUED EFTA01566508 Consolidated Statement Page 3 EFTA01566509 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL , New York, NY 10017-2014 ACCT. For the Period 9/1/13 to 9/30/13 Asset 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). Table of Contents Account Summary Holdings Equity Alternative Assets Cash & Fixed Income Other Assets Portfolio Activity Page 2 5 8 9 14 16 Account Page 1 of 34 Consolidated Statement Page 4 EFTA01566510 GHISLAINE MAXWELL Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 955,872.67 66,756.11 3,956,450.72 151,065.93 $5,130,145.43 9,129.34 $5,139,274.77 Ending Market Value 969,621.57 63,386.38 3,980,583.81 158,652.35 $5,172,244.11 14,121.73 $5,186,365.84 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 (198.71) 1,281,215.21 (1,281,016.50) $0.00 3,015.69 39,082.99 $5,172,244.11 14,121.73 $5,186,365.84 Period Value EFTA01566511 5,130,145.43 Change In Value 13,748.90 (3,369.73) 24,133.09 7,586.42 $42,098.68 4,992.39 $47,091.07 Year-to-Date Value 8,349,258.16 849,480.50 (4,001,990.63) 11,753,103.76 (12,632,417.35) ($4,031,823.72) (31,369.36) 886,179.03 $5,172,244.11 14,121.73 $5,186,365.84 Estimated 50,794.36 21,317.29 $72,111.65 Current Annual Income Allocation 21% 1% 75% 3% 100% Cash & Fixed Income Equity Other Alternative Assets Asset Allocation ACCT. For the Period 9/1/13 to 9/30/13 Account Page 2 of 34 Consolidated Statement Page 5 EFTA01566512 GHISLAINE MAXWELL 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 603.19 874.00 24.99 1,513.51 $3,015.69 Year-to-Date Value 7,799.46 8,190.63 (107,915.84) 55,363.14 ($36,562.61) 8,750.00 (3,556.75) $5,193.25 Unrealized Gain/Loss To-Date Value $27,617.89 LT Realized Gain/Loss Realized Gain/Loss Current Period Value Year-to-Date Value (70,239.07) ($70,239.07) ACCT. For the Period 9/1/13 to 9/30/13 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 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 EFTA01566513 Summary by State* MA MI Current Period Value Year-to-Date Value 1,410.07 708.94 Tax-Exempt Income Summary by State* TX Tax-Exempt Income Current Period Value Year-to-Date Value 3,074.24 $5,193.25 Account Page 3 of 34 Consolidated Statement Page 6 EFTA01566514 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Account Summary Cost Summary Equity Cash & Fixed Income Other Total CONTINUED Cost 944,362.24 3,967,055.93 92,027.29 $5,003,445.46 Account Page 4 of 34 Consolidated Statement Page 7 EFTA01566515 GHISLAINE MAXWELL 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 Beginning Market Value 292,573.99 4,290.00 135.18 445,152.00 213,721.50 $955,872.67 Ending Market Value 299,641.71 10,050.00 146.86 444,174.00 215,609.00 $969,621.57 Current Period Value 969,621.57 944,362.24 25,259.33 50,794.36 7,305.33 5.22% US Large Cap Equity Change In Value 7,067.72 5,760.00 11.68 (978.00) 1,887.50 $13,748.90 Current Allocation EFTA01566516 6% 1% 1% 9% 4% 21% Preferred Stocks US Small/Mid Cap Equity Non-US Equity Asset Cate ories ACCT. For the Period 9/1/13 to 9/30/13 Concentrated & Other Equity Equity as a percentage of your portfolio - 21 % Account Page 5 of 34 Consolidated Statement Page 8 EFTA01566517 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Equity Detail Price US Large Cap Equity APACHE CORP 037411-10-5 APA BANK OF AMERICA CORP CITIGROUP INC NEW SCHLUMBERGER LTD SPDR S&P 500 ETF TRUST Total US Large Cap Equity 060505-10-4 BAC 48.51 172967-42-4 C 88.36 806857-10-8 SLB 168.01 78462F-10-3 SPY $299,641.71 $295,532.56 $4,109.15 1,495.000 251,174.95 250,407.85 767.10 113.000 9,984.68 9,524.04 460.64 141.25 35.31 5,072.53 1,252.74 $5,341.86 $1,288.05 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875 766994-90-9 BP 1.41% 2.02% 1.78% 358.000 17,366.58 14,048.52 3,318.06 EFTA01566518 14.32 0.08% 13.80 944.000 13,027.20 10,148.85 2,878.35 37.76 0.29% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 85.14 95.000 8,088.30 11,403.30 (3,315.00) 76.00 0.94% 3.35 3,000.000 10,050.00 18,129.32 (8,079.32) 48.95 3.000 146.86 212.23 (65.37) Account Page 6 of 34 Consolidated Statement Page 9 EFTA01566519 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Price Preferred Stocks CITIGROUP CAPITAL XIII 7 7/8% PFD 173080-20-1 C PN NA /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 25.42 2,500.000 63,550.00 $444,174.00 62,500.00 $422,578.96 1,050.00 $21,595.04 4,187.50 1,046.88 $31,227.50 $1,046.88 Concentrated & Other Equity GENERAL MOTORS CO CV PFD B 37045V-20-9 GM PB JPMORGAN CHASE & CO VAR RT PFD STK 04/30/2049 DTD 04/23/2008 46625H-HA-1 BBB /BA1 Total Concentrated & Other Equity $215,609.00 $207,909.17 $7,699.83 $14,225.00 $4,970.40 6.55% 110.31 150,000.000 165,459.00 157,909.17 7,549.83 11,850.00 4,970.40 7.10% 6.59% 7.03% EFTA01566520 25.22 4,200.000 105,924.00 98,778.96 7,145.04 7,350.00 6.94% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 27.47 10,000.000 274,700.00 261,300.00 13,400.00 19,690.00 7.17% 50.15 1,000.000 50,150.00 50,000.00 150.00 2,375.00 4.74% Account Page 7 of 34 Consolidated Statement Page 10 EFTA01566521 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Alternative Assets Summary Beginning Asset Categories Hard Assets Estimated Value 66,756.11 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 $63,386.38 $76,999.78 128.18 190.000 24,354.20 31,931.40 129.68 301.000 39,032.18 45,068.38 Quantity Estimated Value Cost Ending Estimated Value 63,386.38 Change In Value (3,369.73) Current Allocation 1% Account Page 8 of 34 Consolidated Statement Page 11 EFTA01566522 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 2,642,723.04 227,948.14 312,939.50 618,791.14 154,048.90 $3,956,450.72 Ending Market Value 2,740,074.68 132,277.29 319,883.17 626,655.93 161,692.74 $3,980,583.81 Current Period Value 3,980,583.81 3,967,055.93 13,527.88 21,317.29 6,816.40 0.43% US Fixed Income Change In Value 97,351.64 (95,670.85) 6,943.67 7,864.79 7,643.84 $24,133.09 Current EFTA01566523 Allocation 51% 3% 6% 12% 3% 75% Non-USD Short Term Non-US Fixed Income Non-USD Cash Cash Asset Categories Cash & Fixed Income as a percentage of your portfolio 75 % Account Page 9 of 34 Consolidated Statement Page 12 EFTA01566524 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1-5 years, 10+ years, Total Value 1 SUMMARY BY TYPE Market Value 3,455,098.81 309,603.00 215,882.00 $3,980,583.81 % of Bond Portfolio 88% 7% 5% 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: P indicates position adjusted for Pending Trade Activity. 1 Cash & Fixed Income Detail Price Cash US DOLLAR 3PM NY MUNI MMKT FD - MORGAN FUND 3 7-Day Annualized Yield: .01% Total Cash 1.00 1.00 2,740,073.68 1.00 2,740,073.68 1.00 $2,740,074.68 2,740,073.68 1.00 $2,740,074.68 $0.00 $274.00 $22.20 0.01% EFTA01566525 274.00 22.20 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Cash & Fixed Income Cash NON USD Cash Corporate Bonds Municipal Bonds International Bonds Mutual Funds Total Value Market Value 2,740,074.68 132,277.29 309,603.00 215,882.00 561,339.05 21,407.79 $3,980,583.81 A - Bonds purchased at a premium show amortization. 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. % of Bond Portfolio 70% 3% 7% 5% 14% 1% 100% Account Page 10 of 34 Consolidated Statement Page 13 EFTA01566526 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Price Non-USD Cash P AUSTRALIAN DOLLAR POUND STERLING HONG KONG DOLLAR TURKISH LIRA NEW PRINCIPAL CURRENCY Total Non-USD Cash 0.94 1.62 0.13 0.49 100.00 8,590.32 950.00 239,000.00 93.50 13,911.16 122.50 118,150.13 $132,277.29 103.25 13,510.29 122.44 124,045.53 $137,781.51 (9.75) 400.87 0.06 (5,895.40) ($5,504.22) $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 - CAD 97.29 LONDON TIME DEPOSITS 0.5700% DATED 09/25/2013 MATURITY 10/02/2013 EFTA01566527 HELD BY LONDON TREASURY SERVICES Bearer 2537A9-9S-9 AD JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/25/2013 MATURITY 10/02/2013 HELD BY LONDON TREASURY SERVICES Bearer 2537B9-9B-5 OK Total Non-USD Short Term $319,883.17 $323,771.22 ($3,888.05) $2,505.74 $41.75 0.91% 16.63 1,243,727.33 206,796.74 209,933.62 (3,136.88) 1,861.16 31.01 1.08% 116,241.54 113,086.43 113,837.60 (751.17) 644.58 10.74 0.61% Account Page 11 of 34 Consolidated Statement Page 14 EFTA01566528 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Price US Fixed Income P JPM MANAGED RESERVES FD - GBP-C-DIST ISIN LU0539309053 051398-91-5 BP ISHARES GBP CORPORATE BOND UCITS ETF ISIN IE00B00FV011 SEDOL BOOFV01 461278-91-3 BP 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 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 110.11 50,000.00 55,056.00 53,444.51 55,424.00 1,611.49 2,500.00 1,250.00 4.00% 104.70 150,000.00 157,047.00 150,000.00 7,047.00 5,400.00 2,040.00 2.04% 99.54 50,000.00 49,772.00 45,394.50 EFTA01566529 4,377.50 237.55 33.65 0.65% 102.78 100,000.00 102,784.00 100,000.00 2,784.00 2,900.00 1,337.20 1.51% 10,309.31 203.88 7.74 105.00 79,763.14 21,407.79 81,082.31 19,023.08 (1,319.17) 925.05 2,384.71 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 12 of 34 Consolidated Statement Page 15 EFTA01566530 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Price US Fixed Income 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 $626,655.93 $607,923.20 $615,466.89 Non-US Fixed Income BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 G13289-92-4 BP ISHARES GBP INDEX-LINKED GILTS UCITS ETF ISIN IE00B1FZSD53 SEDOL B1G52V0 46578W-92-2 BP Total Non-US Fixed Income $161,692.74 $157,505.32 $4,187.42 $0.00 0.00% 21.32 5,790.00 123,450.58 118,212.32 5,238.26 203.53 187.90 38,242.16 39,293.00 (1,050.84) $18,732.73 $18,537.55 $6,752.45 2.28% 104.64 50,000.00 EFTA01566531 52,321.00 52,041.90 54,040.00 279.10 2,500.00 527.75 4.63% 108.51 100,000.00 108,505.00 106,936.90 110,503.00 1,568.10 5,000.00 638.80 4.24% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 13 of 34 Consolidated Statement Page 16 EFTA01566532 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Other Summary Asset Categories Balanced Beginning Estimated Value 151,065.93 Ending Estimated Value 158,652.35 Change In Value 7,586.42 Current Allocation 3% Current Market Value/Cost Estimated Value Tax Cost Estimated Gain/Loss Note: ** Period Value 158,652.35 92,027.29 2,444.08 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 FD - GBP - A - DIST(HDG) ISIN LU0323456201 287991-93-9 BP 146.23 450.272 65,844.09 1,663.11 ** N/A Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 14 of 34 EFTA01566533 Consolidated Statement Page 17 EFTA01566534 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Price Balanced PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 695421-91-7 BP Total Balanced $158,652.35 $92,027.29 $2,444.08 21.28 4,361.513 92,808.26 90,364.18 2,444.08 Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 15 of 34 Consolidated Statement Page 18 EFTA01566535 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - U S Dollar Beginning Cash Balance PRINCIPAL Current Transactions INFLOWS Income Contributions Foreign Exchange - Inflows Total Inflows OUTFLOWS ** Total Outflows Withdrawals $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance $0.00 $2,740,073.68 17,190.60 (250,407.85) ($233,217.25) -$0.00 $0.00 $0.00 -96,727.31 $97,351.64 Period Value 2,642,722.04 624.33 Year-To-Date Value* -58,542.28 849,480.50 204,459.12 $1,112,481.90 (4,000,000.00) ($4,000,000.00) $0.00 $0.00 INCOME Current Period Value 0.00 Year-To-Date EFTA01566536 Value* -$0.00 $0.00 Current Cost Adjustments Amortization Total Cost Adjustments Period Value $0.00 Year-To-Date Value* (3,556.75) ($3,556.75) Account Page 16 of 34 Consolidated Statement Page 19 EFTA01566537 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - U S Dollar * 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 9/3 9/3 9/4 9/27 Interest Income Div Domest Spot FX Div Domest Total Inflows & Outflows Description DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $2,540,774.91 AS OF 09/01/13 GENERAL MOTORS CO CV PFD B @ 0.59375 PER SHARE (ID: 37045V-20-9) LINKED CURRENCY TRANSACTION - SELL BUY USD SELL INR EXCHANGE RATE 67.257200000 DEAL 08/27/13 VALUE 08/30/13 (ID: OINRPR-CV-0) BANK OF AMERICA CORP @ 0.01 PER SHARE (ID: 060505-10-4) 944.000 0.01 9.44 $97,351.64 1,000.000 (6,505,608.220 ) (96,727.31) 0.594 593.75 96,727.31 Quantity Cost Per Unit Amount PRINCIPAL Amount 21.14 INCOME Amount Account Page 17 of 34 EFTA01566538 Consolidated Statement Page 20 EFTA01566539 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 -52.97 $52.97 (52.97) ($52.97) -Year-To-Date Value* -507.19 $507.19 (507.19) ($507.19) -Local Value Current Period Value 0.00 54.91 54.91 (54.91) (54.91) 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 EFTA01566540 Year-To-Date Value* --Year-To-Date Value* -519.19 519.19 (519.19) (519.19) -Account Page 18 of 34 Consolidated Statement Page 21 EFTA01566541 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Canadian Dollar Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 448,260.65 (448,207.68) Year-To-Date Value* 3,851,045.24 (4,305,402.00) * 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 - Canadian Dollar INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/4 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 08/28/2013 MATURITY 09/04/2013 HELD BY LONDON TREASURY SERVICES (ID: 2536R9-9J-3) 9/4 9/11 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 09/04/2013 MATURITY 09/11/2013 HELD BY LONDON TREASURY SERVICES (ID: 2536T9-9H-5) 9/11 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) (12.880) (12.44) (12.88) Account Page 19 of 34 Consolidated Statement Page 22 (12.880) 116,199.510 (12.22) (12.88) EFTA01566542 12.44 12.88 Quantity 116,186.630 Amount USD Local Value PRINCIPAL Amount USD Local Value 12.22 12.88 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01566543 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/18 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6700% DATED 09/11/2013 MATURITY 09/18/2013 HELD BY LONDON TREASURY SERVICES (ID: 2536V9-9R-0) 9/18 9/25 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 09/18/2013 MATURITY 09/25/2013 HELD BY LONDON TREASURY SERVICES (ID: 2536X9-9U-1) 9/25 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 9/4 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/04/2013 MATURITY 09/11/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536T9-9H-5) (14.010) (13.60) (14.01) $0.00 (15.140) 116,227.530 (14.71) (15.14) 13.60 14.01 Quantity 116,212.390 Amount USD Local Value EFTA01566544 PRINCIPAL Amount USD Local Value 14.71 15.14 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 116,199.510 113,796.85 Transaction Market Value * 110,240.98 Account Page 20 of 34 Consolidated Statement Page 23 EFTA01566545 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 9/11 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6700% DATED 09/11/2013 MATURITY 09/18/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536V9-9R-0) 9/18 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 09/18/2013 MATURITY 09/25/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536X9-9U-1) 9/25 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/25/2013 MATURITY 10/02/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537A9-9S-9) Total Securities Transferred In Securities Transferred Out 9/4 Free Delivery $448,260.65 116,241.540 113,837.60 112,861.34 116,227.530 113,824.00 112,935.46 Quantity Cost 116,212.390 113,809.29 Transaction Market Value * 112,222.87 JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 08/28/2013 MATURITY 09/04/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536R9-9J-3) EFTA01566546 9/11 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/04/2013 MATURITY 09/11/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536T9-9H-5) (116,199.510) 113,796.85 (112,210.43) (116,186.630) 113,784.63 (110,228.76) Account Page 21 of 34 Consolidated Statement Page 24 EFTA01566547 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 9/18 Free Delivery Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6700% DATED 09/11/2013 MATURITY 09/18/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536V9-9R-0) 9/25 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 09/18/2013 MATURITY 09/25/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536X9-9U-1) Total Securities Transferred Out ($448,207.68) (116,227.530) 113,824.00 (112,847.74) Quantity Cost (116,212.390) 113,809.29 Transaction Market Value * (112,920.75) Account Page 22 of 34 Consolidated Statement Page 25 EFTA01566548 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Indian Rupee PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Foreign Exchange - Outflows TRADE ACTIVITY Total Trade Activity Period Value -1,293.66 $1,293.66 (96,727.31) ($96,727.31) Settled Sales/Maturities/Redemptions Ending Cash Balance 95,433.65 $95,433.65 -Year-To-Date Value* -1,293.66 $1,293.66 (96,727.31) ($96,727.31) 95,433.65 $95,433.65 -Local Value Current Period Value 0.00 87,008.22 87,008.22 (6,505,608.22) (6,505,608.22) 6,418,600.00 6,418,600.00 0.00 INCOME US Dollar Value Current Transactions Beginning Cash Balance EFTA01566549 Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 Year-To-Date Value* --Year-To-Date Value* -87,008.22 87,008.22 (6,505,608.22) (6,505,608.22) 6,418,600.00 6,418,600.00 -Account Page 23 of 34 Consolidated Statement Page 26 EFTA01566550 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Indian Rupee * 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 - Indian Rupee INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/4 Accrued Int Recd Description INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY EUROCLEAR ISIN XS0495010562 SEDOL 85114T3 (ID: OINRPR-CV-0) 9/4 Spot FX Total Inflows & Outflows LINKED CURRENCY TRANSACTION - SELL BUY USD SELL INR EXCHANGE RATE 67.257200000 DEAL 08/27/13 VALUE 08/30/13 (ID: OINRPR-CV-0) ($95,433.65) $0.00 96,727.310 (96,727.31) (6,505,608.22) Quantity 87,008.220 Amount USD Local Value 0.015 1.00 PRINCIPAL Amount USD Local Value 1,293.66 87,008.22 INCOME Amount USD Local Value Currency Gain/Loss USD Account Page 24 of 34 Consolidated Statement Page 27 EFTA01566551 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 TRADE ACTIVITY - Indian Rupee Note: Trade Date Settle Date 8/27 9/4 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost INTER AMERICAN DEVELOPMENT BANK- INR MEDIUM TERM NOTE 3% MAR 25 2014 DTD 03/25/2010 HELD BY EUROCLEAR ISIN XS0495010562 SEDOL 85114T3 (ID: U45818-9G-5) Quantity (6,700,000.000 ) L indicates Long Term Realized Gain/Loss C indicates Currency Gain/Loss * Settled transaction was initiated in prior statement period and settled in current statement period Per Unit Amount USD Local Value 1.424 95.80 Proceeds USD Local Value 95,433.65 6,418,600.00 Tax Cost USD Realized Local Value Gain/Loss USD (143,232.17) (6,465,500.00) (697.32) L * (47,101.20) C Account Page 25 of 34 Consolidated Statement Page 28 EFTA01566552 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Norwegian Krone PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Withdrawals Ending Cash Balance Period Value -145.74 $145.74 (145.74) ($145.74) -Year-To-Date Value* -1,462.09 $1,462.09 (1,462.09) ($1,462.09) -Local Value Current Period Value 0.00 870.23 870.23 (870.23) (870.23) 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 EFTA01566553 Year-To-Date Value* --Year-To-Date Value* -8,491.36 8,491.36 (8,491.36) (8,491.36) -Account Page 26 of 34 Consolidated Statement Page 29 EFTA01566554 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Norwegian Krone Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 832,954.56 (832,808.82) Year-To-Date Value* 7,902,058.52 (8,327,015.35) * 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 - Norwegian Krone INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/4 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2536R9-9S-3) 9/4 9/11 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2536T9-9T-9) 9/11 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) (217.540) (36.69) (217.54) Account Page 27 of 34 Consolidated Statement Page 30 (217.500) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,074.600 0.9000% DATED 09/04/2013 MATURITY 09/11/2013 (35.76) (217.50) 36.69 217.54 Quantity EFTA01566555 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,242,857.100 0.9000% DATED 08/28/2013 MATURITY 09/04/2013 Amount USD Local Value PRINCIPAL Amount USD Local Value 35.76 217.50 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01566556 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/18 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2536W9-9B-4) 9/18 9/25 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2536Y9-9H-9) 9/25 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 9/4 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/04/2013 MATURITY 09/11/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536T9-9T-9) (217.610) (36.42) (217.61) $0.00 (217.580) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,509.720 0.9000% DATED 09/18/2013 MATURITY 09/25/2013 (36.87) (217.58) 36.42 217.61 Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,292.140 0.9000% DATED 09/11/2013 MATURITY 09/18/2013 Amount USD Local Value PRINCIPAL Amount USD EFTA01566557 Local Value 36.87 217.58 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 1,243,074.600 209,823.64 Transaction Market Value * 204,369.02 Account Page 28 of 34 Consolidated Statement Page 31 EFTA01566558 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 9/11 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/11/2013 MATURITY 09/18/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536W9-9B-4) 9/18 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/18/2013 MATURITY 09/25/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536Y9-9H-9) 9/25 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/25/2013 MATURITY 10/02/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 253769-9B-5) Total Securities Transferred In Securities Transferred Out 9/4 Free Delivery $832,954.56 1,243,727.330 209,933.62 208,174.36 1,243,509.720 209,897.20 210,721.49 Quantity Cost 1,243,292.140 209,860.33 Transaction Market Value * 209,689.69 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 08/28/2013 MATURITY 09/04/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536R9-9S-3) EFTA01566559 9/11 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/04/2013 MATURITY 09/11/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536T9-9T-9) (1,243,074.600 ) 209,823.64 (209,653.00) (1,242,857.100 ) 209,787.88 (204,333.26) Account Page 29 of 34 Consolidated Statement Page 32 EFTA01566560 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 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 9/18 Free Delivery Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/11/2013 MATURITY 09/18/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536W9-9B-4) 9/25 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 09/18/2013 MATURITY 09/25/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2536Y9-9H-9) Total Securities Transferred Out ($832,808.82) (1,243,509.720 ) 209,897.20 (208,137.94) Quantity Cost (1,243,292.140 ) 209,860.33 Transaction Market Value * (210,684.62) Account Page 30 of 34 Consolidated Statement Page 33 EFTA01566561 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Pound Sterling PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Tax Payments $0.00 TRADE ACTIVITY Total Trade Activity Settled Securities Purchased $0.00 Ending Cash Balance -Period Value -874.00 $874.00 Year-To-Date Value* -6,461.44 $6,461.44 (21.35) ($21.35) (1,663.11) ($1,663.11) -0.00 Local Value Current Period Value 8,617.80 543.75 543.75 Year-To-Date Value* -4,200.92 4,200.92 (13.37) (13.37) 0.00 9,161.55 INCOME US Dollar Value EFTA01566562 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* --(1,095.27) (1,095.27) -Account Page 31 of 34 Consolidated Statement Page 34 EFTA01566563 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary - Pound Sterling * 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 - Pound Sterling INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 9/18 9/30 Foreign Dividend Foreign Dividend Description ISHARES GBP CORPORATE BOND UCITS ETF ISIN IE00B00FV011 SEDOL BOOFV01 @ 1.133 PER SHARE (ID: 461278-91-3) PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 @ 0.097392 PER SHARE CONY. @ "CONY RATE" (ID: 695421-91-7) Total Inflows & Outflows $874.00 $0.00 4,361.513 0.157 0.097 684.81 424.78 Quantity 105.000 Amount USD Local Value 1.802 1.133 PRINCIPAL Amount USD Local Value 189.19 118.97 INCOME Amount USD Local Value Currency Gain/Loss USD Account Page 32 of 34 Consolidated Statement Page 35 EFTA01566564 EFTA01566565 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 TRADE ACTIVITY - Pound Sterling F indicates Foreign Exchange Gain/Loss Note: Per Unit Trade Date Est. Settle Date Type Pending Securities Purchased 9/30 Purchase 9/30 Description 3PM MANAGED RESERVES FD - GBP-C-DIST ISIN LU0539309053 (ID: 051398-91-5) Quantity 0.090 Amount USD Local Value 10,309.31 6,366.13 Market Cost USD Local Value (925.05) (571.23) Currency Gain/Loss USD 24.99 Account Page 33 of 34 Consolidated Statement Page 36 EFTA01566566 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Settled Foreign Exchange Contracts Currency Trade Date Settle Date Counter Currency Trade Related INDIAN RUPEE U S DOLLAR Aug. 27 13 Sep. 4 13 INR USD Amount Counter Amount Contract Rate Revaluation Rate (6,505,608.22) 96,727.31 67.257200 67.257200 Contracted Base Amount USD 96,727.31 Revalued Amount USD (96,727.31) Currency G/L Account Page 34 of 34 Consolidated Statement Page 37 EFTA01566567 J.P. Morgan Securities LLC GHISLAINE MAXWELL , New York, NY 10179 ACCT. For the Period 9/1/13 to 9/30/13 Margin 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 Transactions cleared and carried through J.P. Morgan Clearing Corp. Three Chase Metrotech Center, Brooklyn, NY 11245-0001, (347) 643-2578 Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Holdings Cash & Fixed Income Portfolio Activity 3 5 Page 2 Account Page 1 of 5 Consolidated Statement Page 38 EFTA01566568 GHISLAINE MAXWELL Account Summary MARGIN Cash Asset Allocation Cash & Fixed Income Market Value Market Value 0.00 $0.00 Margin Market Value 430.00 $430.00 Current Portfolio Activity Beginning Market Value Ending Market Value Cost Summary Cash & Fixed Income Total Period Value 430.00 $430.00 Short Market Value 0.00 $0.00 Year-to-Date Value 430.00 $430.00 430.00 Cost $430.00 Investment Objectives Speculation Permitted Capital Appreciation Total 430.00 $430.00 Estimated $0.00 Current Market Value Annual Income Allocation 100% 100% ACCT. For the Period 9/1/13 to 9/30/13 Yes Yes EFTA01566569 Account Page 2 of 5 Consolidated Statement Page 39 EFTA01566570 GHISLAINE MAXWELL Cash & Fixed Income Summary Beginning Asset Categories Cash Market Value 430.00 ACCT. For the Period 9/1/13 to 9/30/13 Ending Market Value 430.00 Change In Value 0.00 Current Allocation 100% Current Market Value/Cost Market Value Tax Cost SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Period Value 430.00 430.00 SUMMARY BY TYPE Market Value 430.00 % of Bond Portfolio 100% The years indicate the number of years until the bond is scheduled to mature based on the statement end date. Some bonds may be called, or paid in full, before their stated maturity. Cash & Fixed Income Cash Market Value 430.00 % of Bond Portfolio 100% Account Page 3 of 5 Consolidated Statement Page 40 EFTA01566571 EFTA01566572 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Cash & Fixed Income Detail Quantity Price Cash US DOLLAR 1.00 430.00 Margin 430.00 430.00 Account Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 4 of 5 Consolidated Statement Page 41 EFTA01566573 GHISLAINE MAXWELL ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary PRINCIPAL Current Transactions Portfolio Activity Detail Beginning Cash Balance Ending Cash Balance Period Value 430.00 $430.00 Year-To-Date Value --INCOME Current Period Value 0.00 $0.00 Year-To-Date Value --No Activity This Period Account Page 5 of 5 Consolidated Statement Page 42 EFTA01566574 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566575 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD , New York, NY 10017-2014 ACCT. For the Period 9/1/13 to 9/30/13 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 important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 Account Page 1 of 13 Consolidated Statement Page 43 EFTA01566576 GHISLAINE MAXWELL - OAP IHD Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,730,444.30 $1,730,444.30 3,820.64 $1,734,264.94 Ending Market Value 1,846,903.12 $1,846,903.12 4,346.83 $1,851,249.95 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 (348.62) ($348.62) 3,580.97 113,226.47 $1,846,903 12 4,346.83 $1,851,249.95 Period Value 1,730,444.30 Change In Value 116,458.82 $116,458.82 526.19 $116,985.01 Year-to-Date Value 0.00 1,750,000.00 (10,730.20) $1,739,269.80 EFTA01566577 41,923.62 65,709.70 $1,846,903.12 4,346.83 $1,851,249.95 Estimated 61,598.39 $61,598.39 Current Annual Income Allocation 100% 100% ACCT. For the Period 9/1/13 to 9/30/13 Account Page 2 of 13 Consolidated Statement Page 44 EFTA01566578 GHISLAINE MAXWELL OAP IHD Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 3,580.48 0.49 $3,580.97 Year-to-Date Value 41,918.91 4.71 $41,923.62 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value 2,343.39 $2,343.39 Year-to-Date Value (20,468.38) 4.44 ($20,463.94) ACCT. For the Period 9/1/13 to 9/30/13 Unrealized Gain/Loss To-Date Value $86,173.64 Cost Summary Equity Total 1,760,729.48 Cost $1,760,729.48 Account Page 3 of 13 Consolidated Statement Page 45 EFTA01566579 GHISLAINE MAXWELL - OAP IHD Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,730,444.30 Ending Market Value 1,846,903.12 Change In Value 116,458.82 Current Allocation 100% ACCT. For the Period 9/1/13 to 9/30/13 Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,846,903.12 1,760,729.48 86,173.64 61,598.39 4,346.83 3.33% Account Page 4 of 13 Consolidated Statement Page 46 EFTA01566580 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 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 64.22 555.000 35,639.33 36,821.52 (1,182.19) 1,748.80 780.06 4.91% 66.50 435.000 28,927.50 32,227.68 (3,300.18) 1,009.20 3.49% 29.43 117.99 1,735.000 EFTA01566581 325.000 51,067.99 38,345.13 39,277.38 32,896.77 11,790.61 5,448.36 2,026.48 586.62 3.97% 1.53% 3.56 51.93 12,070.000 365.000 43,017.48 18,954.45 44,210.81 18,351.75 (1,193.33) 602.70 869.04 1,022.00 2.02% 5.39% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 23.59 2,200.000 51,898.00 47,460.92 4,437.08 1,548.80 2.98% Account Page 5 of 13 Consolidated Statement Page 47 EFTA01566582 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Price EAFE Equity BRITISH AMERICAN TOBACCO PLC SPONS ADR 110448-10-7 BTI DEUTSCHE TELEKOM AG SPONS ADR 251566-10-5 DTEG Y 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 677862-10-4 LUKO Y 63.45 1,035.000 65,665.58 64,776.50 Account Page 6 of 13 889.08 2,431.21 3.70% Consolidated Statement Page 48 14.56 3,010.000 43,834.63 48,510.86 (4,676.23) 824.74 1.88% 8.44 1,650.000 EFTA01566583 13,917.75 20,449.05 (6,531.30) 879.45 253.86 6.32% 74.07 515.000 38,147.08 36,270.85 1,876.23 1,739.15 4.56% 54.26 1,145.000 62,127.70 62,810.83 (683.13) 2,690.75 4.33% 50.17 1,015.000 50,922.55 48,412.36 2,510.19 2,407.58 505.36 4.73% 25.14 1,980.000 49,771.26 42,100.10 7,671.16 2,665.08 5.35% 14.50 33.21 3,415.000 2,015.000 49,531.16 66,908.08 45,691.47 47,293.82 3,839.69 19,614.26 3,059.84 1,787.30 6.18% 2.67% 105.15 590.000 EFTA01566584 62,038.50 62,046.30 (7.80) 2,498.06 859.21 4.03% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01566585 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Price EAFE Equity MTN GROUP LTD SPONS ADR 62474M-10-8 MTNO Y 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 68.85 50.63 400.000 1,195.000 27,540.00 60,502.85 27,957.37 60,068.51 (417.37) 434.34 1,440.00 1,499.72 5.23% 2.48% 14.64 67.43 3,540.000 700.000 51,822.06 47,202.40 EFTA01566586 48,749.99 39,379.81 3,072.07 7,822.59 1,454.94 571.89 1,136.80 2.81% 2.41% 26.06 76.71 2,210.000 975.000 57,592.60 74,792.25 58,374.87 68,101.01 (782.27) 6,691.24 1,818.83 839.88 2,005.57 3.16% 2.68% 69.95 1,055.000 73,795.14 73,413.83 381.31 1,915.88 2.60% 19.55 2,610.000 51,035.94 48,665.02 2,370.92 1,618.20 3.17% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 19.48 2,625.000 51,124.50 49,970.21 EFTA01566587 1,154.29 1,929.37 3.77% Account Page 7 of 13 Consolidated Statement Page 49 EFTA01566588 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Price EAFE Equity SIEMENS A G SPONS ADR 826197-50-1 SI 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 37.72 1,630.000 61,483.60 66,467.39 (4,983.79) 17.44 57.92 1,520.000 1,070.000 26,510.32 61,974.40 25,456.73 54,046.70 1,053.59 7,927.70 977.36 2,806.61 536.23 1,861.46 3.69% EFTA01566589 4.53% 3.03% 36.31 690.000 25,053.90 27,215.25 (2,161.35) 841.11 3.36% 16.96 830.000 14,076.80 14,793.04 (716.24) 332.83 2.36% 22.68 1,450.000 32,886.00 35,974.62 (3,088.62) 1,245.55 3.79% 29.73 22.66 1,765.000 1,685.000 52,468.16 38,175.36 51,172.92 33,034.06 1,295.24 5,141.30 2,285.67 1,017.74 4.36% 2.67% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 120.51 500.000 60,255.00 52,917.17 7,337.83 EFTA01566590 1,471.00 2.44% Account Page 8 of 13 Consolidated Statement Page 50 EFTA01566591 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Price EAFE Equity UNITED OVERSEAS BANK LTD SPONS ADR 911271-30-2 UOVE Y US DOLLAR VODAFONE GROUP PLC SPONS ADR 92857W-20-9 VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity 989825-10-4 ZURV Y $1,846,903.12 $1,760,729.48 $86,173.64 $61,598.39 $4,346.83 3.34% 25.76 2,025.000 52,155.90 55,630.28 (3,474.38) 32.95 1.00 35.18 1,250.000 47,540.120 1,905.000 41,183.75 47,540.12 67,017.90 39,130.24 47,540.12 53,061.37 13,956.53 2,053.51 1,186.25 4.75 0.34 2,954.65 2.88% 0.01% 4.41% Quantity Value Adjusted Tax Cost Original Cost Unrealized EFTA01566592 Gain/Loss Est. Annual Inc. Accrued Div. Yield Account Page 9 of 13 Consolidated Statement Page 51 EFTA01566593 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 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 46,307.77 (45,691.47) $616.30 $47,540.12 * 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 185,513.36 (1,919,166.66) ($1,733,653.30) -Current Period Value 43,691.47 3,580.97 $3,580.97 (93.20) (255.42) ($348.62) Year-To-Date Value* -41,923.62 1,750,000.00 $1,791,923.62 (781.51) (6,121.75) (3,826.94) ($10,730.20) Current Cost Adjustments EFTA01566594 Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* 2,151.19 $2,151.19 Account Page 10 of 13 Consolidated Statement Page 52 EFTA01566595 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/3 9/11 9/11 9/12 9/12 9/12 9/16 9/16 9/19 9/19 9/19 9/25 Interest Income Foreign Dividend FGN Tax Withheld Foreign Dividend Expenses FGN Tax Withheld Foreign Dividend Foreign Dividend Foreign Dividend Expenses FGN Tax Withheld Foreign Dividend Description DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $53,444.64 AS OF 09/01/13 UNILEVER N V @ 0.354471 PER SHARE (ID: 904784-70-9) UNILEVER N V TAX WITHHELD NETHERLANDS 15.00% (ID: 904784-70-9) KIRIN HOLDINGS COMPANY LTD SPONS ADR @ 0.180072 PER SHARE (ID: 497350-30-6) KIRIN HOLDINGS COMPANY LTD SPONS ADR REPRESENTS @ .022 DEPOSITORY FEE (ID: 497350-30-6) KIRIN HOLDINGS COMPANY LTD SPONS ADR TAX WITHHELD JAPAN 7.10% (ID: 497350-30-6) ASTRAZENECA PLC SPONS ADR @ 0.90 PER SHARE (ID: 046353-10-8) UNITED OVERSEAS BANK LTD SPONS ADR @ 0.312573 PER SHARE (ID: 911271-30-2) MTN GROUP LTD SPONS ADR @ 0.368104 PER SHARE (ID: 62474M-10-8) MTN GROUP LTD SPONS ADR REPRESENTS @ .020 EFTA01566596 DEPOSITORY FEE (ID: 62474M-10-8) MTN GROUP LTD SPONS ADR TAX WITHHELD SOUTH AFRICA 15.00% (ID: 62474M-10-8) BHP LTD SPONS ADR @ 1.18 PER SHARE (ID: 088606-10-8) 1,630.000 1,630.000 1,850.000 1,850.000 1,850.000 365.000 1,590.000 2,625.000 2,625.000 2,625.000 435.000 1.18 0.90 0.313 0.368 0.18 0.354 577.79 (86.67) 333.13 (40.70) (23.81) 328.50 496.99 966.27 (52.50) (144.94) 513.30 Quantity Cost Per Unit Amount Amount 0.49 Account Page 11 of 13 Consolidated Statement Page 53 EFTA01566597 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/26 Foreign Dividend Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date 9/16 9/19 9/16 9/19 9/16 9/19 9/16 9/19 9/17 9/20 9/17 9/20 Description ROYAL DUTCH SHELL PLC ADR @ 0.90 PER SHARE (ID: 780259-10-7) Quantity Cost Per Unit Amount 405.000 0.90 Amount 364.50 $3,232.35 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale EFTA01566598 High Cost MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR @ 19.3997 2,133.97 BROKERAGE 3.30 TAX &/OR SEC .04 ESI SECURITIES COMPANY (ID: 626188-10-6) TESCO PLC SPONS ADR @ 17.757 6,214.95 BROKERAGE 10.50 TAX &/OR SEC .11 ESI SECURITIES COMPANY (ID: 881575-30-2) UNITED OVERSEAS BANK LTD SPONS ADR @ 33.5252 6,705.04 BROKERAGE 8.00 TAX &/OR SEC .12 ESI SECURITIES COMPANY (ID: 911271-30-2) VODAFONE GROUP PLC SPONS ADR @ 33.8772 18,124.30 BROKERAGE 21.40 TAX &/OR SEC .32 ESI SECURITIES COMPANY (ID: 92857W-20-9) MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR @ 19.4489 2,236.62 BROKERAGE 3.45 TAX &/OR SEC .04 ESI SECURITIES COMPANY (ID: 626188-10-6) TESCO PLC SPONS ADR @ 17.7355 6,296.10 BROKERAGE 10.65 TAX &/OR SEC .11 ESI SECURITIES COMPANY (ID: 881575-30-2) Account Page 12 of 13 Consolidated Statement Page 54 (355.000) 17.705 6,285.34 (6,109.55) 175.79 S (115.000) 19.419 2,233.13 (2,247.58) (14.45) S (535.000) 33.837 18,102.58 (15,939.90) 2,162.68 S (200.000) 33.485 6,696.92 (6,698.48) (1.56) S (350.000) 17.727 6,204.34 (6,130.07) 74.27 S Quantity (110.000) Per Unit Amount 19.369 EFTA01566599 Proceeds 2,130.63 Tax Cost (2,149.86) Realized Gain/Loss (19.23) S EFTA01566600 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 9/1/13 to 9/30/13 Trade Date Settle Date 9/17 9/20 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost UNITED OVERSEAS BANK LTD SPONS ADR @ 33.2894 4,660.52 BROKERAGE 5.60 TAX &/OR SEC .09 ESI SECURITIES COMPANY (ID: 911271-30-2) Total Settled Sales/Maturities/Redemptions $46,307.77 ($43,964.38) $2,343.39 S Quantity (140.000) Per Unit Amount 33.249 Proceeds 4,654.83 Tax Cost (4,688.94) Realized Gain/Loss (34.11) S Trade Date Settle Date Type Description Settled Securities Purchased 9/16 Purchase 9/19 9/17 9/20 9/18 9/23 Purchase Purchase Total Settled Securities Purchased DEUTSCHE TELEKOM AG SPONS ADR @ 13 3578 17,031.20 BROKERAGE 38.25 ESI SECURITIES COMPANY (ID: 251566-10-5) DEUTSCHE TELEKOM AG SPONS ADR @ 13.329 15,328.35 BROKERAGE 34.50 ESI SECURITIES COMPANY (ID: 251566-10-5) EFTA01566601 DEUTSCHE TELEKOM AG SPONS ADR @ 13.3631 13,229.47 BROKERAGE 29.70 ESI SECURITIES COMPANY (ID: 251566-10-5) ($45,691.47) 990.000 13.393 (13,259.17) 1,150.000 13.359 (15,362.85) Quantity 1,275.000 Per Unit Amount 13.388 Market Cost (17,069.45) Account Page 13 of 13 Consolidated Statement Page 55 EFTA01566602 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566603 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP DYS , New York, NY 10017-2014 ACCT. For the Period 9/1/13 to 9/30/13 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 important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Equity Alternative Assets Cash & Fixed Income Portfolio Activity 4 6 9 12 Account Page 1 of 15 Consolidated Statement Page 56 EFTA01566604 GHISLAINE MAXWELL - TAP DYS Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 128,036.35 205,421.91 663,527.77 $996,986.03 211.45 $997,197.48 Ending Market Value 133,060.74 208,241.14 670,352.26 $1,011,654.14 63.63 $1,011,717.77 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 $0.00 3,928.88 10,739.23 $1,011,654.14 63.63 $1,011,717.77 Period Value 996,986.03 Change In Value 5,024.39 2,819.23 6,824.49 $14,668.11 (147.82) EFTA01566605 $14,520.29 Year-to-Date Value 0.00 1,000,000.00 (3,132.27) $996,867.73 22,498.77 (7,712.36) $1,011,654.14 63.63 $1,011,717.77 Alternative Assets Estimated 3,105.16 5,771.61 29,287.88 Current Annual Income Allocation 13% 20% 67% $38,164.65 100% Equity Cash & Fixed Income Asset Allocation ACCT. For the Period 9/1/13 to 9/30/13 Account Page 2 of 15 Consolidated Statement Page 57 EFTA01566606 GHISLAINE MAXWELL - TAP DYS Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income Tax-Exempt Income Tax-Exempt Income CONTINUED Current Period Value 3,928.57 0.31 $3,928.88 Year-to-Date Value 21,387.85 2.65 $21,390.50 1,108.27 $1,108.27 Unrealized Gain/Loss LT Capital Gain Distributions ST Realized Gain/Loss Realized Gain/Loss Current Period Value 30.78 $30.78 Year-to-Date Value 30.78 (3,978.62) ($3,947.84) ACCT. For the Period 9/1/13 to 9/30/13 To-Date Value ($3,764.52) Cost Summary Equity Cash & Fixed Income Total 685,174.65 Cost 125,672.00 $810,846.65 Account Page 3 of 15 Consolidated Statement Page 58 EFTA01566607 GHISLAINE MAXWELL - TAP DYS Equity Summary Asset Categories US Large Cap Equity European Large Cap Equity Asia ex-Japan Equity Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Yield Beginning Market Value 68,752.37 19,523.56 39,760.42 $128,036.35 Ending Market Value 70,425.52 21,001.55 41,633.67 $133,060.74 Current Period Value 133,060.74 125,672.00 7,388.74 3,105.16 2.33% Asia ex-Japan Equity Change In Value 1,673.15 1,477.99 1,873.25 $5,024.39 Current Allocation 7% 2% 4% 13% US Large Cap Equity European Large Cap Equity Asset Categories ACCT. For the Period 9/1/13 to 9/30/13 Equity as a percentage of your portfolio - 13 % EFTA01566608 Account Page 4 of 15 Consolidated Statement Page 59 EFTA01566609 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Equity Detail Price US Large Cap Equity CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 52469H-59-4 SOPY X SIT DIVIDEND GROWTH FUND-I Total US Large Cap Equity 82980D-70-7 SDVG X $70,425.52 $66,070.00 $4,355.52 $1,196.15 1.70% 16.90 2,958.635 50,000.93 46,294.00 3,706.93 775.16 1.55% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 17.32 1,179.249 20,424.59 19,776.00 648.59 420.99 2.06% European Large Cap Equity JPM INTREPID EUR FD - SEL 23.73 FUND 1232 4812A0-67-2 JFES X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND-INS 577130-75-0 MIPI X 885.021 21,001.55 20,316.00 EFTA01566610 685.55 233.64 1.11% 15.78 2,638.382 41,633.67 39,286.00 2,347.67 1,675.37 4.02% Account Page 5 of 15 Consolidated Statement Page 60 EFTA01566611 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Alternative Assets Summary Beginning Asset Categories Hedge Funds Real Estate & Infrastructure Total Value Estimated Value 151,917.03 53,504.88 $205,421.91 Ending Estimated Value 152,996.58 55,244.56 $208,241.14 Change In Value 1,079.55 1,739.68 $2,819.23 Current Allocation 15% 5% 20% Asset Categories Real Estate & Infrastructure Hedge Funds Alternative Assets Detail Alternative Assets as a percentage of your portfolio 20 % Price Hedge Funds EATON VANCE FLOATING-RATE ADVANTAGE I 277923-63-7 EIFA X GATEWAY FUND-Y 367829-88-4 GTEY X 28.12 1,089.208 30,628.53 30,040.36 11.13 7,524.150 83,743.79 84,120.00 Quantity Estimated Value Cost EFTA01566612 Account Page 6 of 15 Consolidated Statement Page 61 EFTA01566613 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Price Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds $152,996.58 $153,865.01 Quantity Estimated Value Cost 10.01 3,858.567 38,624.26 39,704.65 Quantity/Original Commitment Amount Real Estate & Infrastructure NUVEEN GLOBAL INFRASTRUCT-I 670690-51-0 FGIY X Cost/Net Capital Called Since Inception Net Distributions Since Inception Estimated Value Est. Annual Inc. Accrued Div. Yield 2,025.30 20,091.00 21,022.63 435.43 2.07% Account Page 7 of 15 Consolidated Statement Page 62 EFTA01566614 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Quantity/Original Commitment Amount Real Estate & Infrastructure TORTOISE MLP & PIPELINE-INS Total Real Estate & Infrastructure 56166Y-40-4 TORI X $50,707.00 $0.00 $55,244.56 $639.84 Amounts shown above under "Estimated Value" for private equity funds are estimates based on the latest fund values received from each underlying fund, which value may be as of a date (underlying fund value date) prior to the period covered by this statement. The values provided by the underlying fund have been adjusted for any cash flows between your account and such fund that have occurred subsequent to the underlying fund value date to derive the "Estimated Value". Therefore, such "Estimated Value" may not reflect the value of your interest shown on any fund's actual books and records as of the date of this statement. For additional information, please contact your J.P. Morgan representative. For private equity funds, Estimated Values are based on estimates provided by the underlying funds that are generally presented on a US GAAP basis, which records investments at fair value, or "marked-to-market". Most of these underlying funds also present their audited financial statements on a US GAAP basis (i.e., "marked-to- market"). However, some of these underlying funds present their audited financial statements using the Income Tax Basis of Accounting, which records investments "at cost" based on the accrual basis of accounting for Federal income taxes. Where the underlying fund provides periodic estimates on a "marked-to-market" basis but reflects investments "at cost" in its audited financial statements, the marked-to-market Estimated Value shown herein for a private equity fund may be materially different from the value reflected on such fund's audited financial statements (which are also based on the audited financial statements of the underlying fund). 2,296.77 30,616.00 34,221.93 204.41 0.60% Cost/Net Capital Called Since Inception Net Distributions Since Inception Estimated Value EFTA01566615 Est. Annual Inc. Accrued Div. Yield Account Page 8 of 15 Consolidated Statement Page 63 EFTA01566616 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Cash & Fixed Income Summary Beginning Asset Categories Cash 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 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Market Value 42,381.39 593,519.06 27,627.32 $663,527.77 Ending Market Value 46,341.05 595,839.75 28,171.46 $670,352.26 Current Period Value 670,352.26 685,174.65 (14,822.39) 29,287.88 63.63 4.36% Cash & Fixed Income as a percentage of your portfolio 67 % SUMMARY BY TYPE Market Value 670,352.26 % of Bond Portfolio 100% The years indicate the number of years until the bond is scheduled to mature based on the statement end date. Some bonds may be called, or paid in full, before their stated maturity. EFTA01566617 Cash & Fixed Income Cash Mutual Funds Other Total Value Market Value 46,341.05 566,533.37 57,477.84 $670,352.26 % of Bond Portfolio 6% 86% 8% 100% US Fixed Income Change In Value 3,959.66 2,320.69 544.14 $6,824.49 Current Allocation 5% 59% 3% 67% Non-US Fixed Income Cash Asset Categories Account Page 9 of 15 Consolidated Statement Page 64 EFTA01566618 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 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. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 46,341.05 46,341.05 46,341.05 4.63 0.30 US Fixed Income 3PM TR I MLT SC INCOME FD - SEL FUND 2130 48121A-29-0 COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 19248X-30-7 HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST DOUBLELINE TOTAL RET BD-I 3PM STR INC OPP FD 411511-55-3 10.73 411512-73-4 10.96 258620-10-3 11.84 FUND 3844 4812A4-35-1 PRUDENTIAL TOTAL RETURN BD-Z 74440B-40-5 14.00 3,895.47 54,536.52 56,795.89 (2,259.37) 3,015.90 35,708.26 36,040.00 (331.74) 1,052.54 63.33 2,006.16 EFTA01566619 2.95% 3.68% 12,498.16 136,979.78 142,229.00 (5,249.22) 7,111.45 5.19% 2,833.31 30,401.46 29,272.00 1,129.46 634.66 2.09% 10.92 4,547.24 49,655.88 51,111.00 (1,455.12) 2,914.78 5.87% 12.79 4,493.97 57,477.84 60,624.00 (3,146.16) 3,828.85 6.66% 10.07 4,784.86 48,183.58 49,092.71 (909.13) 1,401.96 2.91% 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 10 of 15 Consolidated Statement Page 65 EFTA01566620 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Price US Fixed Income RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE-F BLACKROCK HIGH YIELD BOND Total US Fixed Income 76628T-67-8 10.22 77958B-10-5 8.15 091929-63-8 $595,839.75 $608,485.60 ($12,645.85) $28,249.39 $63.33 Non-US Fixed Income PIMCO EMERGING MARKETS CORPORATE BOND FUND 72201W-85-7 11.39 2,473.35 28,171.46 30,348.00 (2,176.54) 1,033.86 3.67% 4.74% 8,504.33 69,310.27 69,140.00 170.27 4,311.69 6.22% 5,394.06 55,127.29 55,397.00 (269.71) 2,405.75 4.36% 8.99 6,502.66 58,458.87 58,784.00 (325.13) 2,581.55 4.42% Quantity Value EFTA01566621 Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 11 of 15 Consolidated Statement Page 66 EFTA01566622 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 30.78 $30.78 $46,341.05 * 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 136,314.55 (1,109,340.00) ($973,025.45) -Current Period Value 42,381.39 3,928.88 $3,928.88 Year-To-Date Value* -22,498.77 1,000,000.00 $1,022,498.77 (3,132.27) ($3,132.27) Account Page 12 of 15 Consolidated Statement Page 67 EFTA01566623 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/3 9/3 9/3 9/3 9/3 9/3 9/3 9/4 9/4 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $44,370.09 AS OF 09/01/13 3PM STR INC OPP FD FUND 3844 @ 0.024 PER SHARE (ID: 4812A4-35-1) 3PM TR I MLT SC INCOME FD - SEL FUND 2130 @ 0.029 PER SHARE (ID: 48121A-29-0) BLACKROCK HIGH YIELD BOND 08/30/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 08/30/13 (ID: 091929-63-8) EATON VANCE FLOATING-RATE ADVANTAGE I 08/30/13 INCOME DIVIDEND @ 0.044 PER SHARE AS OF 08/30/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 09/03/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PRUDENTIAL TOTAL RETURN BD-Z 08/30/13 INCOME DIVIDEND @ 0.049 PER SHARE AS OF 08/30/13 (ID: 74440B-40-5) COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 08/30/13 INCOME DIVIDEND @ 0.071 PER SHARE AS OF 08/30/13 (ID: 19248X-30-7) DOUBLELINE TOTAL RET BD-I 08/30/13 INCOME DIVIDEND @ 0.046 PER SHARE AS OF 08/30/13 (ID: 258620-10-3) 12,498.155 0.046 EFTA01566624 569.55 4,493.967 0.071 319.07 3,858.567 3,895.466 0.005 0.05 19.29 194.03 7,524.150 0.044 328.01 3,015.900 4,784.864 8,504.327 0.024 0.029 0.043 72.38 138.76 364.84 Quantity Cost Per Unit Amount Amount 0.31 Account Page 13 of 15 Consolidated Statement Page 68 EFTA01566625 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/4 9/4 9/4 9/18 9/18 9/20 9/26 9/30 9/30 Div Domest Div Domest Div Domest STCapitalGain Dist Div Domest Div Domest Div Domest Div Domest Div Domest Total Inflows & Outflows Description PIMCO EMERGING MARKETS CORPORATE BOND FUND 08/30/13 INCOME DIVIDEND @ 0.035 PER SHARE AS OF 08/30/13 (ID: 72201W-85-7) RIDGEWORTH SEIX FLOATING-I 09/03/13 INCOME DIVIDEND @ 0.030 PER SHARE AS OF 09/03/13 (ID: 76628T-67-8) TRP INST FLOATING RATE-F 08/30/13 INCOME DIVIDEND @ 0.038 PER SHARE AS OF 08/30/13 (ID: 77958B-10-5) NUVEEN GLOBAL INFRASTRUCT-I 09/17/13 SHORT TERM CAPITAL GAINS @ 0.086 PER SHARE AS OF 09/17/13 (ID: 670690-51-0) NUVEEN GLOBAL INFRASTRUCT-I 09/17/13 INCOME DIVIDEND @ 0.014 PER SHARE AS OF 09/17/13 (ID: 670690-51-0) MATTHEWS ASIA DIVIDEND-INS 09/19/13 INCOME DIVIDEND @ 0.124 PER SHARE AS OF 09/19/13 (ID: 577130-75-0) GATEWAY FUND-Y 09/25/13 INCOME DIVIDEND @ 0.122 PER SHARE AS OF 09/25/13 (ID: 367829-88-4) HARBOR HIGH YIELD BOND-INST 09/26/13 INCOME DIVIDEND @ 0.144 PER SHARE AS OF 09/26/13 (ID: 411511-55-3) HARBOR CONVERTIBLE SEC-INST 09/26/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 09/26/13 (ID: 411512-73-4) EFTA01566626 $3,928.88 2,833.314 0.043 120.50 1,089.208 4,547.242 0.122 0.144 132.88 654.89 2,638.382 0.124 326.42 2,025.302 0.014 27.75 2,025.302 0.086 174.78 5,394.060 0.038 206.28 6,502.655 0.03 193.78 Quantity Cost Per Unit Amount 2,473.350 0.035 Amount 85.36 Account Page 14 of 15 Consolidated Statement Page 69 EFTA01566627 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 9/1/13 to 9/30/13 TRADE ACTIVITY Trade Date Type Settle Date 9/18 9/18 Selection Method Description Settled Sales/Maturities/Redemptions LT Capital Gain Distribution NUVEEN GLOBAL INFRASTRUCT-I 09/17/13 LONG TERM CAPITAL GAINS @ 0.015 PER SHARE AS OF 09/17/13 (ID: 670690-51-0) Quantity 2,025.302 Per Unit Amount 0.015 Proceeds Tax Cost 30.78 Realized Gain/Loss Account Page 15 of 15 Consolidated Statement Page 70 EFTA01566628 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566629 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP ARFI , New York, NY 10017-2014 ACCT. For the Period 9/1/13 to 9/30/13 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 important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Page 2 Holdings Alternative Assets Cash & Fixed Income Portfolio Activity 4 5 7 Account Page 1 of 9 Consolidated Statement Page 71 EFTA01566630 GHISLAINE MAXWELL - TAP ARFI Account Summary Asset Allocation Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 358,049.66 628,810.11 $986,859.77 584.78 $987,444.55 Ending Market Value 360,377.56 632,540.59 $992,918.15 266.77 $993,184.92 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 $0.00 1,920.83 4,137.55 $992,918.15 266.77 $993,184.92 Period Value 986,859.77 Change In Value 2,327.90 3,730.48 $6,058.38 (318.01) $5,740.37 Year-to-Date Value 0.00 EFTA01566631 1,000,000.00 (2,330.95) $997,669.05 14,224.06 (18,974.96) $992,918.15 266.77 $993,184.92 Alternative Assets Estimated 6,954.29 18,174.02 Current Annual Income Allocation 36% 64% $25,128.31 100% Cash & Fixed Income Asset Allocation ACCT. For the Period 9/1/13 to 9/30/13 Account Page 2 of 9 Consolidated Statement Page 72 EFTA01566632 GHISLAINE MAXWELL - TAP ARFI Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income Tax-Exempt Income Tax-Exempt Income CONTINUED Current Period Value 1,920.21 0.62 $1,920.83 Year-to-Date Value 13,055.24 3.09 $13,058.33 1,165.73 $1,165.73 Unrealized Gain/Loss To-Date Value ($16,422.41) ST Realized Gain/Loss Realized Gain/Loss Current Period Value (648.71) ($648.71) Year-to-Date Value (2,552.55) ($2,552.55) ACCT. For the Period 9/1/13 to 9/30/13 Cost Summary Cash & Fixed Income 641,785.94 Cost Total $641,785.94 Account Page 3 of 9 Consolidated Statement Page 73 EFTA01566633 GHISLAINE MAXWELL - TAP ARFI Alternative Assets Summary Beginning Asset Categories Hedge Funds Estimated Value 358,049.66 Alternative Assets Detail Price Hedge Funds GOLDMAN SACHS TR STRG INCM INST 38145C-64-6 GSZI X HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS 9 72201M-45-3 PUCP X 9.79 PRU ABRTN FD Z 74441J-82-9 PADZ X Total Hedge Funds $360,377.56 $367,554.62 7,400.957 72,455.37 74,379.62 11.24 14,308.333 160,825.66 164,832.00 10.01 5,780.066 57,858.46 59,171.00 10.48 6,606.686 69,238.07 69,172.00 Quantity Estimated Value Cost ACCT. For the Period 9/1/13 to 9/30/13 Ending Estimated Value 360,377.56 Change In Value EFTA01566634 2,327.90 Current Allocation 36% Account Page 4 of 9 Consolidated Statement Page 74 EFTA01566635 GHISLAINE MAXWELL - TAP ARFI Cash & Fixed Income Summary Beginning Asset Categories Cash US Fixed Income Total Value Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Interest Yield SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 Market Value 57,786.28 571,023.83 $628,810.11 ACCT. For the Period 9/1/13 to 9/30/13 Ending Market Value 41,065.11 591,475.48 $632,540.59 Current Period Value 632,540.59 641,785.94 (9,245.35) 18,174.02 266.77 2.87% Cash & Fixed Income as a percentage of your portfolio 64 % SUMMARY BY TYPE Market Value 632,540.59 % of Bond Portfolio 100% The years indicate the number of years until the bond is scheduled to mature based on the statement end date. Some bonds may be called, or paid in full, before their stated maturity. Cash & Fixed Income Cash EFTA01566636 Mutual Funds Total Value Market Value 41,065.11 591,475.48 $632,540.59 % of Bond Portfolio 6% 94% 100% US Fixed Income Change In Value (16,721.17) 20,451.65 $3,730.48 Current Allocation 4% 60% 64% Cash Asset Cate ories Account Page 5 of 9 Consolidated Statement Page 75 EFTA01566637 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 9/1/13 to 9/30/13 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. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 41,065.11 41,065.11 41,065.11 4.10 0.54 US Fixed Income 3PM TR I MLT SC INCOME FD - SEL FUND 2130 48121A-29-0 DOUBLELINE TOTAL RET BD-I EATON VANCE FLOATING RATE-I 3PM STR INC OPP FD 258620-10-3 9.14 277911-49-1 11.84 FUND 3844 4812A4-35-1 RBC FDS TR BLUBAY ABRTR I 74926P-34-0 Total US Fixed Income $591,475.48 $600,720.83 ($9,245.35) $18,169.92 $266.23 3.07% 10.15 14,793.79 150,156.94 150,434.00 (277.06) 12,677.82 150,105.44 151,500.00 (1,394.56) 4,424.56 EFTA01566638 266.23 1,361.02 2.95% 0.91% 5,463.94 49,940.44 50,159.00 (218.56) 2,076.29 4.16% 10.96 13,146.13 144,081.63 149,603.00 (5,521.37) 7,480.15 5.19% 10.07 9,651.54 97,191.03 99,024.83 (1,833.80) 2,827.90 2.91% 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 6 of 9 Consolidated Statement Page 76 EFTA01566639 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions $0.00 TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 20,110.00 (38,752.00) ($18,642.00) $41,065.11 * 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 107,157.00 (1,077,985.00) ($970,828.00) -Current Period Value 57,786.28 1,920.83 $1,920.83 Year-To-Date Value* -14,224.06 1,000,000.00 $1,014,224.06 (2,330.95) ($2,330.95) Account Page 7 of 9 Consolidated Statement Page 77 EFTA01566640 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 9/1/13 to 9/30/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/3 9/3 9/3 9/3 9/3 9/3 9/4 9/4 9/4 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 08/01/13 - 08/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $57,785.34 AS OF 09/01/13 3PM STR INC OPP FD FUND 3844 @ 0.024 PER SHARE (ID: 4812A4-35-1) 3PM TR I MLT SC INCOME FD - SEL FUND 2130 @ 0.029 PER SHARE (ID: 48121A-29-0) EATON VANCE FLOATING RATE-I 08/30/13 INCOME DIVIDEND @ 0.029 PER SHARE AS OF 08/30/13 (ID: 277911-49-1) HSBC FDS TOTAL RETURN I 09/03/13 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z 08/30/13 INCOME DIVIDEND @ 0.030 PER SHARE AS OF 08/30/13 (ID: 744413-82-9) DOUBLELINE TOTAL RET BD-I 08/30/13 INCOME DIVIDEND @ 0.046 PER SHARE AS OF 08/30/13 (ID: 258620-10-3) GOLDMAN SACHS TR STRG INCM INST 08/30/13 INCOME DIVIDEND @ 0.009 PER SHARE AS OF 08/30/13 (ID: 38145C-64-6) PIMCO UNCONSTRAINED BOND-P 08/30/13 INCOME DIVIDEND @ 0.006 PER SHARE AS OF 08/30/13 (ID: 72201M-45-3) 14,308.333 0.007 EFTA01566641 102.03 4,731.710 0.021 100.27 13,146.134 0.046 599.07 5,780.066 7,400.957 0.005 0.03 28.90 218.46 12,677.824 9,651.542 5,463.943 0.024 0.029 0.029 304.27 279.89 159.14 Quantity Cost Per Unit Amount Amount 0.62 Account Page 8 of 9 Consolidated Statement Page 78 EFTA01566642 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 9/1/13 to 9/30/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 9/4 Div Domest Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date 9/3 9/4 Description RBC FDS TR BLUBAY ABRTR I 08/30/13 INCOME DIVIDEND @ 0.010 PER SHARE AS OF 08/30/13 (ID: 74926P-34-0) $1,920.83 Quantity Cost Per Unit Amount 12,911.799 0.01 Amount 128.18 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost PIMCO UNCONSTRAINED BOND-P (ID: 72201M-45-3) Quantity (1,801.971) Per Unit Amount 11.16 Proceeds 20,110.00 Tax Cost (20,758.71) Realized Gain/Loss (648.71) S Trade Date Settle Date Type Description Settled Securities Purchased EFTA01566643 9/3 Purchase 9/4 9/24 9/25 Purchase Total Settled Securities Purchased GOLDMAN SACHS TR STRG INCM INST (ID: 38145C-64-6) RBC FDS TR BLUBAY ABRTR I (ID: 74926P-34-0) Quantity 1,874.976 1,881.988 Per Unit Amount 10.47 10.16 Market Cost (19,631.00) (19,121.00) ($38,752.00) Account Page 9 of 9 Consolidated Statement Page 79 EFTA01566644 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566645 For the Period 9/1/13 to 9/30/13 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 EFTA01566646 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 EFTA01566647 For the Period 9/1/13 to 9/30/13 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) (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, EFTA01566648 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 EFTA01566649 For the Period 9/1/13 to 9/30/13 Contact your J.P. Morgan Team at one of the telephone numbers on the front of your statements or write us 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 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. 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. EFTA01566650 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. IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR MARGIN ACCOUNT(S) All positions in your Margin Account Portfolio(s) are held in custody at J.P. Morgan Clearing Corp. ("JPMCC"), Three Chase Metrotech Center, Brooklyn, NY 11245-001, (347) 643-2578. If you have a margin account as permitted by law we may use certain securities in such account for, among other things, settling short sales and lending the securities for short sales, and as a result may receive compensation in connection therewith. Disclosures Page 3 of 5 EFTA01566651 For the Period 9/1/13 to 9/30/13 Please keep the following in mind when using a statement to track your brokerage activity in a margin account: The statement combines your general margin account with the special memorandum account required by Section 220.6 Regulation T. As required by Regulation T, a permanent record of your separate account is available upon your request. Free credit balances in your margin account(s) are not segregated and may be used in the operation of JPMCCs business, subject to the limitations of SEC Rule 15c3-3. Unless otherwise noted, JPMCC or its agents and depositories will hold your securities. Upon your demand, JPMCC will pay to you the amount of your free credit balance, and will deliver to you fully-paid securities held on your behalf. Interest will be charged on any debit balance; the method of calculating interest is described in a letter sent to all margin customers. 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. PRODUCT RELATED DISCLOSURE: IMPORTANT INFORMATION ABOUT ALTERNATIVE INVESTMENTS: FOOTNOTES 1 - 4 Private Equity, Hedge Funds, Exchange Funds, Real Estate and Other Alternative Assets 1. 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. 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 EFTA01566652 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. Disclosures Page 4 of 5 EFTA01566653 For the Period 9/1/13 to 9/30/13 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 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 by calling your 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. 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 EFTA01566654 EFTA01566655