EFTA Document EFTA01566688

GHISLAINE MAXWELL 1000 VENETIAN WAY APT 801 MIAMI FL 33139-1043 EFTA01566688 EFTA01566689 For the Period 10/1/13 to 10/31/13 Account Summary Account Number Investment Account(s) GHISLAINE MAXWELL GHISLAINE MAXWELL GHISLAINE MAXWELL - OAP IHD GHISLAINE MAXWELL - TAP DYS GHISLAINE MAXWELL - TAP ARFI Beginning Net Market Value 5,186,365.84 430.00 1,851,249.95 1,011,717.77 993,184.92 $9,042,948.48 Ending Net Market Value 5,218,128.72 430.00 1,917,781.95 1,027,149.23 999,650.02 $9,163,139.92 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). EFTA01566690 Change In Value 31,762.88 0.00 66,532.00 15,431.46 6,465.10 $120,191.44 Start on Page 4 35 39 52 67 Client News If you plan to make gifts of securities this year, please notify your Client Service Representative before December 1, 2013. This will allow us to process your request before year-end and meet the deadline for tax filing purposes. 0000037072.00.0.9E.00001.MAXWE04.20131104 Consolidated Statement Page 1 EFTA01566691 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566692 For the Period 10/1/13 to 10/31/13 Consolidated Summary INVESTMENT ACCOUNTS Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 2,949,585.43 632,005.08 5,283,906.66 158,652.35 $9,024,149.52 18,798.96 $9,042,948.48 Ending Market Value 3,038,569.66 680,268.99 5,273,033.37 158,958.51 $9,150,830.53 12,309.39 $9,163,139.92 Change In Value 88,984.23 48,263.91 (10,873.29) 306.16 $126,681.01 (6,489.57) $120,191.44 $201,912.00 Estimated 121,359.28 14,033.97 66,518.75 Current Annual Income Allocation 33% 7% 58% 2% 100% Equity EFTA01566693 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 9,024,149.52 (8,929.91) 26,110.14 109,500.78 $9,150,830.53 12,309.39 $9,163,139.92 Year-to-Date Value 8,349,688.16 (306,947.05) 73,387.23 1,034,702.19 $9,150,830.53 12,309.39 $9,163,139.92 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 EFTA01566694 For the Period 10/1/13 to 10/31/13 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 Account Number IIIIIIIIIII Beginning Market Value 8,349,258.16 430.00 0.00 0.00 0.00 $8,349,688.16 Taxable Income (20,119.51) 46,525.71 24,104.55 14,707.32 $65,218.07 Net Contributions/ Withdrawals (4,031,823.69) 1,733,663.15 995,069.57 996,143.92 ($306,947.05) EFTA01566695 Tax-Exempt Income 5,895.16 1,108.27 1,165.73 $8,169.16 'Unrealized Gain/Loss represents data from the time of account inception to the current statement period. (21,672.27) (5,497.85) (4,262.78) ($31,432.90) Other Income & Receipts Income & Distributions (14,224.35) 46,525.71 25,212.82 15,873.05 $73,387.23 Change in Investment Value 906,689.55 134,318.12 6,643.50 (12,948.98) $1,034,702.19 Realized Gain/Loss Short-term Long-term (70,239.07) 4.44 30.78 ($70,203.85) Ending Market Value with Accruals 5,218,128.72 430.00 1,917,781.95 1,027,149.23 999,650.02 $9,163,139.92 Unrealized Gain/Loss' 48,092.78 155,985.95 12,110.57 (8,686.20) $207,503.10 CONTINUED EFTA01566696 Consolidated Statement Page 3 EFTA01566697 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL 270 Park Avenue, New York, NY 10017-2014 ACCT. For the Period 10/1/13 to 10/31/13 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). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Holdings Equity Alternative Assets Cash & Fixed Income Other Assets Portfolio Activity Page 2 5 8 9 14 16 Accounts Page 1 of 31 Consolidated Statement Page 4 EFTA01566698 GHISLAINE MAXWELL Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning 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 Ending Market Value 986,618.54 63,084.55 4,001,238.07 158,958.51 $5,209,899.67 8,229.05 $5,218,128.72 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 (248.53) 1,607,746.17 (1,607,497.61) $0.03 17,145.01 20,510.52 $5,209,899.67 8,229.05 $5,218,128.72 Period Value EFTA01566699 5,172,244.11 Change In Value 16,996.97 (301.83) 20,654.26 306.16 $37,655.56 (5,892.68) $31,762.88 Year-to-Date Value 8,349,258.16 849,480.50 (4,002,239.16) 13,360,849.93 (14,239,914.96) ($4,031,823.69) (14,224.35) 906,689.55 $5,209,899.67 8,229.05 $5,218,128.72 Estimated 50,794.36 21,388.24 $72,182.60 Current Annual Income Allocation 21% 1% 75% 3% 100% Cash & Fixed Income Equity Other Alternative Assets Asse ACCT For the Period 10 1/13 to 10/31/13 Accoun Page 2 of 31 Consolidated Statement Page 5 EFTA01566700 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 7,177.74 1,575.88 7,689.48 $16,443.10 1,250.00 (548.09) $701.91 Year-to-Date Value 14,977.20 9,766.51 (107,915.84) 63,052.62 ($20,119.51) 10,000.00 (4,104.84) $5,895.16 Unrealized Gain/Loss To-Date Value $48,092.78 LT Realized Gain/Loss Realized Gain/Loss Current Period Value Year-to-Date Value (70,239.07) ($70,239.07 ACCT. For the Period 10/1/13 to 10/31/13 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 EFTA01566701 securities in the account which may not have a state affiliation. Tax-Exempt Income Summary by State* MA MI Current Period Value 701.91 Year-to-Date Value 1,410.07 1,410.85 Tax-Exempt Income Summary by State* TX Tax-Exempt Income $701.91 Current Period Value Year-to-Date Value 3,074.24 $5,895. Account Page 3 of 31 Consolidated Statement Page 6 EFTA01566702 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Account Summary Cost Summary Equity Cash & Fixed Income Other Total CONTINUED Cost 944,362.24 3,984,388.10 92,027.29 $5,020,777.63 Account 052167006 Page 4 of 31 Consolidated Statement Page 7 EFTA01566703 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 299,641.71 10,050.00 146.86 444,174.00 215,609.00 $969,621.57 Ending Market Value 363,803.33 11,850.00 152.21 444,460.00 166,353.00 $986,618.54 Current Period Value 986,618.54 944,362.24 42,256.30 50,794.36 1,892.93 5.13% US Large Cap Equity Equity as a percentage of your portfolio - 21 % Change In Value 64,161.62 1,800.00 5.35 286.00 (49,256 00) $16,996 97 Current EFTA01566704 Allocation 7% 1% 1% 9% 3% 21% Preferred Stocks US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Cate ories ACCT For the Period 10/1/13 to 10/31/13 Account Q52167006 Page 5 of 31 Consolidated Statement Page 8 EFTA01566705 GHISL LL ACCT. For the Period 10/1/13 to 10/31/13 Equity Detail Price US Large Cap Equity APACHE CORP 037411-10-5 APA BANK OF AMERICA CORP CITIGROUP INC NEW GENERAL MOTORS CO 060505-10-4 BAC 48.78 172967-42-4 C 51.32 CV PFD B 37045V-20-9 GM PB SCHLUMBERGER LTD SPDR S&P 500 ETF TRUST Total US Large Cap Equity 806857-10-8 SLB 175.79 78462F-10-3 SPY $363,803.33 $345,532.56 $18,270.77 $7,716.86 $22.58 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN 2.12% 1,495.000 262,806.05 250,407.85 12,398.20 5,072.53 1.93% 93.72 113.000 10,590.36 9,524.04 1,066.32 141.25 1.33% 1,000.000 51,320.00 50,000.00 1,320.00 358.000 17,463.24 EFTA01566706 14,048.52 3,414.72 14.32 3.58 2,375.00 0.08% 4.63% 13.97 944.000 13,187.68 10,148.85 3,038.83 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 88.80 95.000 8,436.00 11,403.30 (2,967.30) 76.00 19.00 37.76 0.90% 0.29% 3.95 3,000.000 11,850.00 18,129.32 (6,279.32) Account Q52167006 Page 6 of 31 Consolidated Statement Page 9 EFTA01566707 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 Price Non-US Equity RIO TINTO PLC ISIN GB0007188757 SEDOL 0718875 766994-90-9 BP 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 25.70 2,500.000 64,250.00 $444,460.00 62,500.00 $422,578.96 1,750.00 $21,881.04 4,187.50 $31,227.50 $1,837.50 Concentrated & Other Equity JPMORGAN CHASE & CO VAR RT PFD STK 04/30/2049 DTD 04/23/2008 46625H-HA-1 BBB /BA1 6.52% 7.03% 25.05 4,200.000 105,210.00 98,778.96 6,431.04 7,350.00 1,837.50 6.99% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01566708 Accrued Div. Yield 50.74 3.000 152.21 212.23 (60.02) 27.50 10,000.000 275,000.00 261,300.00 13,700.00 19,690.00 7.16% 110.90 150,000.000 166,353.00 157,909.17 8,443.83 11,850.00 32.85 7.06% Account Page 7 of 31 Consoliin.ement Page 10 EFTA01566709 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Alternative Assets Summary Beginning Asset Categories Hard Assets Estimated Value 63,386.38 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 $63,084.55 $76,999.78 127.74 190.000 24,270.60 31,931.40 128.95 301.000 38,813.95 45,068.38 Quantity Estimated Value Cost Ending Estimated Value 63,084.55 Change In Value (301.83) Current Allocation 1% Accounil. Page 8 of 31 Console a e a ement Page 11 EFTA01566710 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 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 2,740,074.68 132,277.29 319,883.17 626,655.93 161,692.74 $3,980,583.81 Ending Market Value 2,755,978.68 135,516.25 320,822.19 627,441.39 161,479.56 $4,001,238.07 Current Period Value 4,001,238.07 3,984,388.10 16,849.97 21,388.24 6,336.12 0.41% US Fixed Income Change In Value 15,904.00 3,238.96 939.02 785.46 (213.18) $20,654.26 Current EFTA01566711 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 Q52167006 Page 9 of 31 Consolidated Statement Page 12 EFTA01566712 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1-5 years, 10+ years, Total Value 1 SUMMARY BY TYPE Market Value 3,474,647.07 310,483.50 216,107.50 $4,001,238.07 % 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: A - Bonds purchased at a premium show amortization. 1 Cash & Fixed Income Detail Price Cash US DOLLAR 3PM TR I NY MUNI MM FD - MORGAN FUND 3 7-Day Annualized Yield: .01% Total Cash 1.00 1.00 2,755,977.68 1.00 2,755,977.68 1.00 $2,755,978.68 2,755,977.68 1.00 $2,755,978.68 $0.00 $275.59 $22.94 0.01% EFTA01566713 275.59 22.94 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 2,755,978.68 135,516.25 310,483.50 216,107.50 561,495.33 21,656.81 $4,001,238.07 % of Bond Portfolio 70% 3% 7% 5% 14% 1% 100% 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 • ount. Account Page 10 of 31 Consolidated Statement Page 13 EFTA01566714 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 Price Non-USD Cash AUSTRALIAN DOLLAR POUND STERLING HONG KONG DOLLAR TURKISH LIRA NEW PRINCIPAL CURRENCY Total Non-USD Cash 0.95 1.61 0.13 0.50 100.00 9,544.49 950.00 239,000.00 94.69 15,334.17 122.53 119,964.86 $135,516.25 103.25 15,050.86 122.44 124,045.53 $139,322.08 (8.56) 283.31 0.09 (4,080.67) ($3,805.83) $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 95.89 LONDON TIME DEPOSITS 0.6200% DATED 10/30/2013 MATURITY 11/06/2013 HELD BY LONDON TREASURY SERVICES Bearer EFTA01566715 2537L9-9L-2 AD JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 10/30/2013 MATURITY 11/06/2013 HELD BY LONDON TREASURY SERVICES Bearer 2537L9-9V-0 OK Total Non-USD Short Term $320,822.19 $324,019.75 ($3,197.56) $2,575.10 $14.25 0.83% 16.81 1,244,815.97 209,291.90 210,116.64 (824.74) 1,883.62 10.46 0.94% 116,309.36 111,530.29 113,903.11 (2,372.82) 691.48 3.79 0.63% Account.. Page 11 of 31 Consoli a e a ement Page 14 EFTA01566716 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Price US Fixed Income 3PM 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 110.31 50,000.00 55,152.50 53,348.92 55,424.00 1,803.58 2,500.00 208.30 3.97% 105.27 150,000.00 157,911.00 150,000.00 7,911.00 5,400.00 2,490.00 1.81% 99.41 50,000.00 49,704.50 45,394.50 EFTA01566717 4,310.00 237.55 54.10 0.71% 102.87 100,000.00 102,868.00 100,000.00 2,868.00 2,900.00 128.80 1.41% 206.26 105.00 21,656.81 19,023.08 2,633.73 10,235.70 7.74 79,193.58 81,082.31 (1,888.73) Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account 052167006 Page 12 of 31 Consolidated Statement Page 15 EFTA01566718 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 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 $627,441.39 $607,562.27 $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 $161,479.56 $157,505.32 $3,974.24 $0.00 $1,626.13 0.00% 21.20 5,790.00 122,742.71 118,212.32 4,530.39 1,626.13 206.16 187.90 38,736.85 39,293.00 (556.15) $19,879.12 $18,537.55 $4,672.80 2.21% EFTA01566719 104.57 50,000.00 52,283.00 51,945.91 54,040.00 337.09 2,500.00 736.10 4.63% 108.67 100,000.00 108,672.00 106,767.55 110,503.00 1,904.45 5,000.00 1,055.50 4.22% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 13 of 31 Consolidated Statement Page 16 EFTA01566720 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Other Summary Asset Categories Balanced Beginning Estimated Value 158,652.35 Ending Estimated Value 158,958.51 Change In Value 306.16 Current Allocation 3% Current Market Value/Cost Estimated Value Tax Cost Estimated Gain/Loss Note: ** Period Value 158,958.51 92,027.29 2,901.74 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 145.90 450.272 65,692.59 1,663.11 ** N/A Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 14 of 31 EFTA01566721 Consolidated Statement Page 17 EFTA01566722 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Price Balanced PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 695421-91-7 BP Total Balanced $158,958.51 $92,027.29 $2,901.74 21.38 4,361.513 93,265.92 90,364.18 2,901.74 Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accrua Accoun Page 15 of 31 Consolidated Statement Page 18 EFTA01566723 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 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 $2,755,977.68 17,190.60 (250,407.85) ($233,217.25) -$0.00 $0.00 $0.00 -$15,904.00 Period Value 2,740,073.68 15,904.00 Year-To-Date Value* -74,446.28 849,480.50 204,459.12 $1,128,385.90 (4,000,000.00) ($4,000,000.00) $0.00 $0.00 INCOME Current Period Value 0.00 Year-To-Date Value* EFTA01566724 -$0.00 $0.00 Current Cost Adjustments Amortization Total Cost Adjustments Period Value (548.09) ($548.09) Year-To-Date Value* (4,104.84) ($4,104. Account Page 16 of 31 Consolidated Statement Page 19 EFTA01566725 GHISLAINE MAXWELL ACCT . For the Period 10/1/13 to 10/31/13 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 10/1 Municipal Interest Description MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK ENTRY ONLY PAR CALL 10/01/2016 @ 100 (ID: 59455T-PF-3) 10/1 10/2 10/11 10/15 10/30 10/30 10/31 Interest Income Interest Income Foreign Dividend Corporate Interest Div Domest Interest Income Div Domest Total Inflows & Outflows Account Q52167006 Page 17 of 31 DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $2,740,025.91 AS OF 10/01/13 3PM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER SHARE (ID: 48125E-20-7) SCHLUMBERGER LTD @ 0.3125 PER SHARE (ID: 806857-10-8) HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15 2015 DTD 10/15/2010 (ID: 40429X-YB-6) JPMORGAN CHASE & CO VAR RT PFD STK 04/30/2049 DTD 04/23/2008 (ID: 46625H-HA-1) CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187 PER SHARE (ID: 173080-20-1) SPDR S&P 500 ETF TRUST @ 0.83795 PER SHARE (ID: 78462F-10-3) 2,500.000 113.000 EFTA01566726 100,000.000 150,000.000 10,000.000 1,495.000 0.419 0.312 0.015 0.04 0.492 0.838 1,046.88 35.31 1,450.00 5,925.00 4,921.87 1,252.74 $15,904.00 Consolidated Statement Page 20 22.20 Quantity Cost 50,000.000 Per Unit Amount 0.025 PRINCIPAL Amount 1,250.00 INCOME Amount EFTA01566727 GHISLAINE MAXWELL ACCT- For the Period 10/1/13 to 10/31/13 COST ADJUSTMENTS Settle Date 10/1 Type Amortization Description MI ST MUNI BOND AUTH ST CLEAN WTR REVOLVING FD 5% OCT 01 2026 DTD 11/02/2006 HELD BY DTC BOOK ENTRY ONLY PAR CALL 10/01/2016 @ 100 MUNICIPAL BOND PREMIUM AMORTIZATIO (ID: 59455T-PF-3) Quantity 50,000.000 Cost Basis Adjustments (548.09 Account Page 18 of 31 Consolidated Statement Page 21 EFTA01566728 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 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 -65.51 $65.51 (65.51) ($65.51) -Year-To-Date Value* -572.70 $572.70 (572.70) ($572.70) -Local Value Current Period Value 0.00 67.82 67.82 (67.82) (67.82) 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 EFTA01566729 Year-To-Date Value* --Year-To-Date Value* -587.01 587.01 (587.01) (587.01) -Account Page 19 of 31 Consolidated Statement Page 22 EFTA01566730 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary Canadian Dollar Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 561,740.35 (561,674.81) Year-To-Date Value* 4,412,785.59 (4,867,076.81) * Year to date information is calculated on a calendar year basis. ** Your account's standing instructions use a HIGH COST method for relieving assets from your position Portfolio Activity Detail - Canadian Dollar INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/2 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 09/25/2013 MATURITY 10/02/2013 HELD BY LONDON TREASURY SERVICES (ID: 2537A9-9S-9) 10/2 10/9 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/02/2013 MATURITY 10/09/2013 HELD BY LONDON TREASURY SERVICES (ID: 2537C9-9P-3) 10/9 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) (12.880) (12.47) (12.88) Account Q52167006 Page 20 of 31 Consolidated Statement Page 23 (12.880) 116,254.420 (12.47) (12.88) EFTA01566731 12.47 12.88 Quantity 116,241.540 Amount USD Local Value PRINCIPAL Amount USD Local Value 12.47 12.88 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01566732 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/16 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/09/2013 MATURITY 10/16/2013 HELD BY LONDON TREASURY SERVICES (ID: 2537E9-9H-9) 10/16 10/23 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 10/16/2013 MATURITY 10/23/2013 HELD BY LONDON TREASURY SERVICES (ID: 2537G9-9D-6) 10/23 10/30 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 10/23/2013 MATURITY 10/30/2013 HELD BY LONDON TREASURY SERVICES (ID: 253739-9C-5) 10/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Total Inflows & Outflows (14.020) (13.42) (14.02) $0.00 (14.020) 116,295.340 (13.63) (14.02) 13.42 14.02 (14.020) 116,281.320 (13.52) (14.02) 13.63 14.02 EFTA01566733 Quantity 116,267.300 Amount USD Local Value PRINCIPAL Amount USD Local Value 13.52 14.02 INCOME Amount USD Local Value Currency Gain/Los Account Page 21 of 31 Consolidated Statement Page 24 EFTA01566734 GHISLAINE MAXWELL ACCT. 1 For the Period 10/1/13 to 10/31/13 SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/2 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/02/2013 MATURITY 10/09/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537C9-9P-3) 10/9 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/09/2013 MATURITY 10/16/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537E9-9H-9) 10/16 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/16/2013 MATURITY 10/23/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537G9-9D-6) 10/23 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/23/2013 MATURITY 10/30/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 253739-9C-5) 10/30 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/30/2013 MATURITY 11/06/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537L9-9L-2) Total Securities Transferred In $561,740.35 116,309.360 113,903.11 111,338.11 116,295.340 113,889.69 113,072.77 116,281.320 113,876.06 112,148.64 116,267.300 113,862.54 112,591.20 EFTA01566735 * 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 116,254.420 113,850.07 Transaction Market Value * 112,589. Account Page 22 of 31 Consolidated Statement Page 25 EFTA01566736 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 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 10/2 Free Delivery Description 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) 10/9 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.5700% DATED 10/02/2013 MATURITY 10/09/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537C9-9P-3) 10/16 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/09/2013 MATURITY 10/16/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537E9-9H-9) 10/23 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/16/2013 MATURITY 10/23/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537G9-9D-6) 10/30 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 10/23/2013 MATURITY 10/30/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537J9-9C-5) Total Securities Transferred Out ($561,674.81) (116,295.340) 113,889.69 (111,324.69) (116,281.320) 113,876.06 (113,059.13) (116,267.300) 113,862.54 EFTA01566737 (112,135.12) (116,254.420) 113,850.07 (112,578.72) Quantity Cost (116,241.540) 113,837.60 Transaction Market Value * (112,57 Account Page 23 of 31 Consolidated Statement Page 26 EFTA01566738 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 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 -183.02 $183.02 (183.02) ($183.02) -Year-To-Date Value* -1,645.11 $1,645.11 (1,645.11) ($1,645.11) -Local Value Current Period Value 0.00 1,088.64 1,088.64 (1,088.64) (1,088.64) 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 EFTA01566739 Year-To-Date Value* --Year-To-Date Value* -9,580.00 9,580.00 (9,580.00) (9,580.00) Page 24 of 31 Consolidated Statement Page 27 EFTA01566740 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary - Norwegian Krone Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 1,046,005.82 (1,045,822.80) Year-To-Date Value* 8,948,064.34 (9,372,838.15) * 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 10/2 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2537B9-9B-5) 10/2 10/9 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2537C9-9V-0) 10/9 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) (217.690) (36.56) (217.69) Account 052167006 Page 25 of 31 Consolidated Statement Page 28 (217.650) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,944.980 0.9000% DATED 10/02/2013 MATURITY 10/09/2013 (36.33) (217.65) 36.56 217.69 Quantity EFTA01566741 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,243,727.330 0.9000% DATED 09/25/2013 MATURITY 10/02/2013 Amount USD Local Value PRINCIPAL Amount USD Local Value 36.33 217.65 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01566742 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 10/16 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2537E9-9S-5) 10/16 10/23 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2537G9-9P-9) 10/23 10/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 253739-9U-5) 10/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Total Inflows & Outflows (217.800) (37.00) (217.80) $0.00 (217.770) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,598.170 0.9000% DATED 10/23/2013 MATURITY 10/30/2013 (36.95) (217.77) 37.00 217.80 (217.730) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,380.400 0.9000% DATED 10/16/2013 MATURITY 10/23/2013 (36.18) (217.73) 36.95 217.77 Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,244,162.670 0.9000% DATED 10/09/2013 MATURITY 10/16/2013 Amount USD EFTA01566743 Local Value PRINCIPAL Amount USD Local Value 36.18 217.73 INCOME Amount USD Local Value Currency Gain/Loss USD Account Page 26 of 31 Consolidated Statement Page 29 EFTA01566744 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/1 SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 10/2 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON 0.9000% DATED 10/02/2013 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2537C9-9V-0) 10/9 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON 0.9000% DATED 10/09/2013 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2537E9-9S-5) 10/16 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON 0.9000% DATED 10/16/2013 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2537G9-9P-9) 10/23 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON 0.9000% DATED 10/23/2013 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 253739-9U-5) 10/30 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON 0.9000% DATED 10/30/2013 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2537L9-9V-0) Total Securities Transferred In $1,046,005.82 1,244,815.970 210,116.64 211,448.08 1,244,598.170 210,079.64 211,181.49 1,244,380.400 210,042.69 206,778.12 1,244,162.670 210,006.51 208,965.99 3 TIME DEPOSITS 10/09/2013 CLIENT REF FTD TIME DEPOSITS 10/16/2013 CLIENT REF FTD TIME DEPOSITS 10/23/2013 CLIENT REF FTD TIME DEPOSITS 10/30/2013 CLIENT REF FTD TIME DEPOSITS 11/06/2013 CLIENT REF FTD EFTA01566745 * 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 1,243,944.980 209,969.95 Transaction Market Value * 207,632. Account iiiIIIIIIIIPage 27 of 31 Consolidated Statement Page 30 EFTA01566746 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 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 10/2 Free Delivery Description 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) 10/9 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 10/02/2013 MATURITY 10/09/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537C9-9V-0) 10/16 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 10/09/2013 MATURITY 10/16/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537E9-9S-5) 10/23 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 10/16/2013 MATURITY 10/23/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537G9-9P-9) 10/30 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9000% DATED 10/23/2013 MATURITY 10/30/2013 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2537J9-9U-5) Total Securities Transferred Out ($1,045,822.80) (1,244,598.170 ) 210,079.64 (211,411.08) (1,244,380.400 ) 210,042.69 (211,144.54) (1,244,162.670 ) 210,006.51 EFTA01566747 (206,741.94) (1,243,944.980 ) 209,969.95 (208,929.43) Quantity Cost (1,243,727.330 ) 209,933.62 Transaction Market Value * (207,595.81) Account 052167006 Page 28 of 31 Consolidated Statement Page 31 EFTA01566748 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 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 Ending Cash Balance (925.05) ($925.05) -Period Value -1,540.57 $1,540.57 Year-To-Date Value* -8,002.01 $8,002.01 (21.35) ($21.35) (2,588.16) ($2,588.16) -0.00 (571.23) (571.23) 9,544.49 INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value EFTA01566749 0.00 0.00 Year-To-Date Value* --Local Value Current Period Value 9,161.55 954.17 954.17 Year-To-Date Value* -5,155.09 5,155.09 (13.37) (13.37) (1,666.50) (1,666.50) -Account Q52167006 Page 29 of 31 Consolidated Statement Page 32 EFTA01566750 GHISLAINE MAXWELL ACCT. For the Period 10/1/13 to 10/31/13 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 10/1 10/7 Foreign Dividend Foreign Dividend Total Inflows & Outflows Description 3PM MANAGED RESERVES FD - GBP-C-DIST ISIN LU0539309053 AS OF 09/30/13 (ID: 051398-91-5) BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 @ 2.038 PER SHARE CONV. @ "CONV RATE" (ID: G13289-92-4) $1,540.57 $0.00 Quantity 7.647 187.898 Amount USD Local Value 120.969 74.70 3.276 2.038 PRINCIPAL Amount USD Local Value 925.05 571.23 615.52 382.94 INCOME Amount USD Local Value Currency Gain/Loss USD Account 052167006 Page 30 of 31 Consolidated Statement Page 33 EFTA01566751 GHISLAINE MAXWELL ACCT.IIMIM For the Period 10/1/13 to 10/31/13 TRADE ACTIVITY - Pound Sterling Note: Trade Date Settle Date Type Settled Securities Purchased 9/30 Purchase 10/1 * Settled transaction was initiated in prior statement period and settled in current statement period Per Unit Description 3PM MANAGED RESERVES FD - GBP-C-DIST ISIN LU0539309053 AS OF 09/30/13 (ID: 051398-91-5) Quantity 0.090 Amount USD Local Value 10,278.333 6,366.13 Market Cost USD Local Value (925.05) (571.23) Currency Gain/Loss USD 24.99 * Accounta Page 31 of 31 Consolidated Statement Page 34 EFTA01566752 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566753 J.P. Morgan Securities LLC GHISLAINE MAXWELL 383 Madison Avenue, New York, NY 10179 ACCT. 24155873 For the Period 10/1/13 to 10/31/13 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). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Portfolio Activity Page 2 4 Account 'age 1 of 4 Consolidated Statement Page 35 EFTA01566754 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 Period Value 430.00 $430.00 Short Market Value 0.00 $0.00 Year-to-Date Value 430.00 $430.00 Total 430.00 $430.00 Estimated $0.00 Current Market Value Annual Income Allocation 100% 100% ACCT. For the Period 10/1/13 to 10/31/13 Account 24155873 Page 2 of 4 Consolidated Statement Page 36 EFTA01566755 GHISLAINE MAXWELL ACCT For the Period 10/1/13 to 10/31/13 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 3 of 4 Consolidated Statement Page 37 EFTA01566756 GHISLAINE MAXWELL 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 --ACCT. 24155873 For the Period No Ac Accou Consolidate 10/1/13 to 10/31/13 Period Page 4 of 4 dement Page 38 EFTA01566757 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD 270 Park Avenue New York, NY 10017-2014 ACCT. For the Period 10/1/13 to 10/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 10 Account Page 1 of 13 Consolidated Statement Page 39 EFTA01566758 GHISLAINE MAXWELL - OAP IHD Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,846,903.12 $1,846,903.12 4,346.83 $1,851,249.95 Ending Market Value 1,914,506.98 $1,914,506.98 3,274.97 $1,917,781.95 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 (5,606.65) ($5,606.65) 4,602.09 68,608.42 $1,914,506.98 3,274.97 $1,917,781.95 Period Value 1,846,903.12 Change In Value 67,603.86 $67,603.86 (1,071.86) $66,532.00 Year-to-Date Value 0.00 1,750,000.00 (16,336.85) $1,733,663.15 EFTA01566759 46,525.71 134,318.12 $1,914,506.98 3,274.97 $1,917,781.95 Estimated 67,450.27 $67,450.27 Current Annual Income Allocation 100% 100% ACCT . For the P ri 10/1/13 to 10/31/13 Account Page 2 of 13 Consolidated Statement Page 40 EFTA01566760 GHISLAINE MAXWELL OAP IHD Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 4,601.75 0.34 $4,602.09 Year-to-Date Value 46,520.66 5.05 $46,525.71 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (1,203.89) ($1,203.89) Year-to-Date Value (21,672.27) 4.44 ($21,667.83) ACCT. V49920008 For the Period 10/1/13 to 10/31/13 Unrealized Gain/Loss To-Date Value $155,985.95 Cost Summary Equity Total 1,758,521.03 Cost $1,758, AccountilliM Page 3 of 13 Consolidated Statement Page 41 EFTA01566761 GHISLAINE MAXWELL - OAP IHD Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,846,903.12 Ending Market Value 1,914,506.98 Change In Value 67,603.86 Current Allocation 100% ACCT. V49920008 For the Period 10/1/13 to 10/31/13 Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,914,506.98 1,758,521.03 155,985.95 67,450.27 3,274.97 3.52% Account Page 4 of 13 Consolidated Statement Page 42 EFTA01566762 GHISLAINE MAXWELL - OAP IHD ACCT. For t11,111110/1/13 to 10/31/13 Note: indicates position adjusted for Pending Trade Activity. This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Equity Detail Price EAFE Equity ABB LTD SPONS ADR 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 65.43 555.000 36,313.65 36,821.52 (507.87) 1,748.80 4.82% 70.69 435.000 30,750.15 32,227.68 (1,477.53) 1,009.20 3.28% 29.33 124.70 EFTA01566763 1,735.000 325.000 50,887.55 40,527.50 39,277.38 32,896.77 11,610.17 7,630.73 2,026.48 741.32 586.62 3.98% 1.45% 3.67 52.86 12,070.000 365.000 44,296.90 19,293.90 44,210.81 18,351.75 86.09 942.15 869.04 1,022.00 1.96% 5.30% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 25.47 2,200.000 56,034.00 47,460.92 8,573.08 1,548.80 2.76% Account Page 5 of 13 Consolidated Statement Page 43 EFTA01566764 GHIS OAP IHD ACCT.., - For the Period 10/1/13 to 10/31/13 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 P 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 65.47 1,035.000 67,761.45 64,776.1 Account Page 6 of 13 2,984.95 3,783.96 5.58% Consolidated Statement Page 44 14.70 3,010.000 44,247.00 48,510.86 (4,263.86) 824.74 1.86% 8.22 EFTA01566765 1,390.000 11,425.80 17,118.82 (5,693.02) 740.87 6.48% 74.99 515.000 38,619.85 36,270.85 2,349.00 1,739.15 4.50% 55.04 1,145.000 63,020.80 62,810.83 209.97 2,748.00 4.36% 52.63 1,015.000 53,419.45 48,412.36 5,007.09 2,445.13 4.58% 25.02 1,980.000 49,539.60 42,100.10 7,439.50 2,665.08 5.38% 15.79 33.89 4,270.000 2,015.000 67,423.30 68,288.35 58,928.15 47,293.82 8,495.15 20,994.53 3,825.92 1,787.30 5.67% 2.62% 110.49 590.000 65,189.10 EFTA01566766 62,046.30 3,142.80 2,552.34 3.92% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01566767 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/13 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 PROCEEDS FROM PENDING SALES 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 Account V49920008 Page 7 of 13 Consolidated Statement Page 45 69.52 53.48 400.000 1,195.000 27,808.00 63,908.60 27,957.37 60,068.51 (149.37) 3,840.09 1,440.00 1,499.72 5.18% 2.35% 69.34 700.000 48,538.00 EFTA01566768 39,379.81 9,158.19 1,136.80 2.34% 1.00 15.56 2,126.340 3,540.000 2,126.34 55,082.40 2,126.34 48,749.99 6,332.41 1,454.94 2.64% 26.10 77.55 2,210.000 975.000 57,681.00 75,611.25 58,374.87 68,101.01 (693.87) 7,510.24 1,818.83 839.88 2,005.57 3.15% 2.65% 72.41 1,055.000 76,392.55 73,413.83 2,978.72 1,915.88 2.51% 20.95 2,610.000 54,679.50 48,665.02 6,014.48 1,618.20 2.96% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01566769 Accrued Div. Yield 19.86 2,625.000 52,132.50 49,970.21 2,162.29 1,929.37 3.70% EFTA01566770 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/1 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 39.72 1,630.000 64,743.60 66,467.39 (1,723.79) 1,933.18 2.99% 17.72 61.18 1,520.000 1,070.000 26,932.88 65,462.60 25,456.73 54,046.70 1,476.15 11,415.90 977.36 342.00 2,809.82 EFTA01566771 3.63% 4.29% 40.76 690.000 28,124.40 27,215.25 909.15 841.11 2.99% 18.41 830.000 15,280.30 14,793.04 487.26 332.83 2.18% 23.63 1,450.000 34,263.50 35,974.62 (1,711.12) 30.45 23.18 1,765.000 1,685.000 53,744.25 39,058.30 51,172.92 33,034.06 2,571.33 6,024.24 2,285.67 1,017.74 1,351.46 1,245.55 4.25% 2.61% 3.64% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 128.01 500.000 64,005.00 52,917.17 EFTA01566772 11,087.83 1,471.00 2C 30% cr A una Page 8 of 13 Consolidated Statement Page 46 EFTA01566773 GHISLAINE MAXWELL - OAP IHD ACCT. I For the Period 10/1/13 to 10/31/13 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 $1,914,506.98 $1,758,521.03 $155,985.95 $67,450.27 $3,274.97 3.52% 27.74 2,025.000 56,173.50 55,630.28 543.22 3,649.05 6.50% 33.77 1.00 36.86 1,250.000 33,298.880 1,905.000 42,212.50 33,298.88 70,208.78 39,130.24 33,298.88 53,061.37 17,147.41 3,082.26 1,186.25 3.32 0.31 2,954.65 2.81% 0.01% 4.21% Quantity Value Adjusted Tax Cost EFTA01566774 Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Accouni.I.Page 9 of 13 Consoli ate tatement Page 47 EFTA01566775 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Withdrawals Fees & Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 185,513.36 (13,236.68) ($13,236.68) $33,298.88 * 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 (1,932,403.34) ($1,746,889.98) -Current Period Value 47,540.12 4,602.09 $4,602.09 (83.05) (5,225.06) (298.54) ($5,606.65) Year-To-Date Value* -46,525.71 1,750,000.00 $1,796,525.71 (864.56) (11,346.81) (4,125.48) ($16,336.85) Current Cost Adjustments EFTA01566776 Cost Adjustments Total Cost Adjustments Period Value $0.00 Year-To-Date Value* 2,151.19 $2,151. Account Page 10 of 13 Consolidated Statement Page 48 EFTA01566777 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/1 10/1 10/1 10/1 10/3 10/3 10/3 10/3 10/3 10/4 10/4 Foreign Dividend Expenses FGN Tax Withheld Interest Income Foreign Dividend Foreign Dividend Expenses Foreign Dividend Expenses Foreign Dividend Expenses Description ISRAEL CHEMICALS LTD ADR @ 0.179901 PER SHARE (ID: 465036-20-0) ISRAEL CHEMICALS LTD ADR REPRESENTS @ .015 DEPOSITORY FEE (ID: 465036-20-0) ISRAEL CHEMICALS LTD ADR TAX WITHHELD ISRAEL 14.50% (ID: 465036-20-0) DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $47,160.58 AS OF 10/01/13 GLAXOSMITHKLINE PLC SPONS ADR @ 0.553212 PER SHARE (ID: 37733W-10-5) RECKITT BENCKISER GROUP PLC SPONSORED ADR @ 0.192 PER SHARE (ID: 756255-20-4) RECKITT BENCKISER GROUP PLC SPONSORED ADR REPRESENTS @ .012 DEPOSITORY FEE (ID: 756255-20-4) BRITISH AMERICAN TOBACCO PLC SPONS ADR @ 1.45629 PER SHARE (ID: 110448-10-7) BRITISH AMERICAN TOBACCO PLC SPONS ADR REPRESENTS @ .005 DEPOSITORY FEE (ID: 110448-10-7) BOC HONG KONG HOLDINGS LTD SPONS ADR @ 1.405653 EFTA01566778 PER SHARE (ID: 096813-20-9) BOC HONG KONG HOLDINGS LTD SPONS ADR REPRESENTS @ .020 DEPOSITORY FEE (ID: 096813-20-9) 555.000 555.000 1.406 780.14 (11.10) 590.000 590.000 1.456 859.21 (2.95) 1,015.000 3,540.000 3,540.000 0.553 0.192 561.51 679.68 (44.25) Quantity Cost 1,650.000 1,650.000 1,650.000 Per Unit Amount 0.18 Amount 296.84 (24.75) (42.98) 0.34 Accounln. Page 11 of 13 Console a e a ement Page 49 EFTA01566779 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/15 10/15 10/15 10/18 10/18 Foreign Dividend FGN Tax Withheld Foreign Dividend Description TOTAL SA SPONS ADR @ 0.796143 PER SHARE (ID: 89151E-10-9) TOTAL SA SPONS ADR TAX WITHHELD FRANCE 30.00% (ID: 89151E-10-9) HSBC HOLDINGS PLC SPONS ADR @ 0.50 PER SHARE AS OF 10/09/13 (ID: 404280-40-6) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 07-01-2013 TO 09-30-2013 Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT FEE FOR 07-01-2013 TO 09-30-2013 Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date Type Settled Securities Purchased 10/10 Purchase 10/16 Quantity Cost Per Unit Amount 1,070.000 1,070.000 1,145.000 0.50 0.796 Amount 851.87 (255.56) 572.50 (3,373.81) (1,851.25) ($1,004.56) S indicates Short Term Realized Gain/Loss EFTA01566780 Description DEUTSCHE TELEKOM AG SPONS ADR @ 15.4515 13,211.03 BROKERAGE 25.65 ESI SECURITIES COMPANY (ID: 251566-10-5) Quantity 855.000 Per Unit Amount 15.482 Market Cost (13,236.68) Account Page 12 of 13 Consolidated Statement Page 50 EFTA01566781 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 10/1/13 to 10/31/13 Trade Date Type Est. Settle Date Selection Method Description Pending Sales, Maturities, Redemptions Sale 10/31 11/5 ISRAEL CHEMICALS LTD ADR (ID: 465036-20-0) Quantity (260.000) Per Unit Amount 8.188 Proceeds 2,126.34 Tax Cost (3,330.23) Realized Gain/Loss (1,203.89) S Account 'age 13 of 13 Consolidated Statement Page 51 EFTA01566782 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566783 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP DYS 270 Park Avenue, New York, NY 10017-2014 ACCT. V49935006 For the Period 10/1/13 to 10/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Page 2 Holdings Equity Alternative Assets Cash & Fixed Income Portfolio Activity 4 6 9 12 Account Page 1 of 15 ConsolWment Page 52 EFTA01566784 GHISLAINE MAXWELL - TAP DYS Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 133,060.74 208,241.14 670,352.26 $1,011,654.14 63.63 $1,011,717.77 Ending Market Value 137,444.14 211,258.95 678,222.80 $1,026,925.89 223.34 $1,027,149.23 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 (1,798.16) ($1,798.16) 2,714.05 14,355.86 $1,026,925.89 223.34 $1,027,149.23 Period Value 1,011,654.14 Change In Value 4,383.40 3,017.81 7,870.54 $15,271.75 EFTA01566785 159.71 $15,431.46 Year-to-Date Value 0.00 1,000,000.00 (4,930.43) $995,069.57 25,212.82 6,643.50 $1,026,925.89 223.34 $1,027,149.23 Alternative Assets Estimated 3,114.65 5,632.51 29,637.75 Current Annual Income Allocation 13% 21% 66% $38,384.91 100% Equity Cash & Fixed Income Asset ACCT. For the Period 10/1/13 to 10/31/13 AccounlIIIIIIIIIIPage 2 of 15 Consolidated Statement Page 53 EFTA01566786 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 2,713.75 0.30 $2,714.05 Year-to-Date Value 24,101.60 2.95 $24,104.55 1,108.27 $1,108.27 Unrealized Gain/Loss LT Capital Gain Distributions ST Realized Gain/Loss Realized Gain/Loss Current Period Value (1,519.23) ($1,519.23) Year-to-Date Value 30.78 (5,497.85) ($5,467.07) ACCT. V49935006 For the Period 10/1/13 to 10/31/13 To-Date Value $12,110.57 Cost Summary Equity Cash & Fixed Income Total 684,571.31 Cost 125,672.00 $810,243.31 Account V49935006 Page 3 of 15 Consolidated Statement Page 54 EFTA01566787 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 70,425.52 21,001.55 41,633.67 $133,060.74 Ending Market Value 72,813.28 22,284.83 42,346.03 $137,444.14 Current Period Value 137,444.14 125,672.00 11,772.14 3,114.65 2.26% Asia ex-Japan Equity Change In Value 2,387.76 1,283.28 712.36 $4,383.40 Current Allocation 7% 2% 4% 13% US Large Cap Equity European Large Cap Equity Asset Cate ories ACCT. For the Period 10/1/13 to 10/31/13 Equity as a percentage of your portfolio - 13 % EFTA01566788 Account Page 4 of 15 Consolidated Statement Page 55 EFTA01566789 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 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 $72,813.28 $66,070.00 $6,743.28 $1,205.64 1.66% 17.44 2,958.635 51,598.59 46,294.00 5,304.59 792.91 1.54% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 17.99 1,179.249 21,214.69 19,776.00 1,438.69 412.73 1.95% European Large Cap Equity JPM TR I INTREPID EUR FD - SEL 25.18 FUND 1232 4812A0-67-2 JFES X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND-INS 577130-75-0 MIPI X 885.021 22,284.83 20,316.00 EFTA01566790 1,968.83 233.64 1.05% 16.05 2,638.382 42,346.03 39,286.00 3,060.03 1,675.37 3.96% Account Page 5 of 15 Consolidated Statement Page 56 EFTA01566791 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/1 Alternative Assets Summary Beginning Asset Categories Hedge Funds Real Estate & Infrastructure Total Value Estimated Value 152,996.58 55,244.56 $208,241.14 Ending Estimated Value 154,392.24 56,866.71 $211,258.95 Change In Value 1,395.66 1,622.15 $3,017.81 Current Allocation 15% 6% 21% Hedge Funds Real Estate & Infrastructure Asset Categories Alternative Assets Detail Alternative Assets as a percentage of your portfolio 21 % Price Hedge Funds EATON VANCE FLOATING-RATE ADVANTAGE I 277923-63-7 EIFA X GATEWAY FUND-Y 367829-88-4 GTEY X 28.56 1,089.208 31,107.78 30,040.36 11.18 7,524.150 84,120.00 84,120.00 Quantity Estimated Value Cost EFTA01566792 Account = Page 6 of 15 Consolidated Statement Page 57 EFTA01566793 GHISLAINE MAXWELL - TAP DYS ACCT. I For the Period 10/1/13 to 10/31/13 Price Quantity Hedge Funds HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X Total Hedge Funds $154,392.24 $153,865.01 Estimated Value Cost 10.15 3,858.567 39,164.46 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 21,772.00 435.43 2.00% Accoun Page 7 of 15 Consol ement Page 58 EFTA01566794 GHISLAINE MAXWELL - TAP DYS ACCT- For the Period 10/1/13 to 10/31/13 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 $56,866.71 $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 35,094.71 204.41 0.58% Cost/Net Capital Called Since Inception Net Distributions Since Inception Estimated Value EFTA01566795 Est. Annual Inc. Accrued Div. Yield Account Page 8 of 15 Consolidated Statement Page 59 EFTA01566796 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 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 46,341.05 595,839.75 28,171.46 $670,352.26 Ending Market Value 25,503.60 623,904.67 28,814.53 $678,222.80 Current Period Value 678,222.80 684,571.31 (6,348.51) 29,637.75 223.34 4.36% Cash & Fixed Income as a percentage of your portfolio 66 % SUMMARY BY TYPE Market Value 678,222.80 % 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. EFTA01566797 Cash & Fixed Income Cash Mutual Funds Other Total Value Market Value 25,503.60 594,297.63 58,421.57 $678,222.80 % of Bond Portfolio 3% 89% 8% 100% US Fixed Income Change In Value (20,837.45) 28,064.92 643.07 $7,870.54 Current Allocation 2% 61% 3% 66% Non-US Fixed Income Cash Asset Categories Account Page 9 of 15 Consolidated Statement Page 60 EFTA01566798 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 Note: This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 25,503.60 25,503.60 25,503.60 2.55 0.33 US Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST COHEN & STEERS PREFERRED SECURITIES 411511-55-3 10.95 411512-73-4 13.00 AND INCOME FUND INC 19248X-30-7 DOUBLELINE TOTAL RET BD-I 3PM TR I STRG INCM OPPTY FD - SEL 258620-10-3 11.90 FUND 3844 4812A4-35-1 3PM TR I MLT SEC INCOME FD SEL FUND 2130 48121A-29-0 10.18 4,784.86 48,709.92 49,092.71 (382.79) 3,015.90 35,889.21 36,040.00 (150.79) 1,004.29 60.32 1,368.47 162.69 2.80% EFTA01566799 2.81% 10.98 12,498.16 137,229.74 142,229.00 (4,999.26) 7,023.96 5.12% 4,493.97 58,421.57 60,624.00 (2,202.43) 3,828.85 6.55% 2,833.31 31,024.79 29,272.00 1,752.79 634.66 2.05% 11.19 4,547.24 50,883.64 51,111.00 (227.36) 2,914.78 5.73% 0.01% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Accoun' Page 10 of 15 Consolidated Statement Page 61 EFTA01566800 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/1 Price US Fixed Income METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE-F BLACKROCK HIGH YIELD BOND Total US Fixed Income 76628T-67-8 10.28 77958B-10-5 8.28 091929-63-8 $623,904.67 $628,719.71 ($4,815.04) $28,603.82 $223.01 Non-US Fixed Income PIMCO EMERGING MARKETS CORPORATE BOND FUND 72201W-85-7 11.65 2,473.35 28,814.53 30,348.00 (1,533.47) 1,031.38 3.58% 4.59% 8,504.33 70,415.83 69,140.00 1,275.83 4,303.18 6.11% 5,394.06 55,450.94 55,397.00 53.94 2,378.78 4.29% 9.05 6,502.66 58,849.03 58,784.00 65.03 2,536.03 EFTA01566801 4.31% 10.71 7,192.34 77,030.00 77,030.00 2,610.82 3.39% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account 'age 11 of 15 Consolidated Statement Page 62 EFTA01566802 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 55,276.66 (77,030.00) ($21,753.34) $25,503.60 * 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 191,591.21 (1,186,370.00) ($994,778.79) -Current Period Value 46,341.05 2,714.05 $2,714.05 (1,798.16) ($1,798.16) Year-To-Date Value* -25,212.82 1,000,000.00 $1,025,212.82 (4,930.43) ($4,930.43) Page 12 of 15 Consolidated Statement Page 63 EFTA01566803 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/1 10/1 10/1 10/1 10/1 10/1 10/2 10/2 10/2 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $45,170.32 AS OF 10/01/13 3PM TR I STRG INCM OPPTY FD - SEL FUND 3844 @ 0.021 PER SHARE (ID: 4812A4-35-1) BLACKROCK HIGH YIELD BOND 09/30/13 INCOME DIVIDEND @ 0.040 PER SHARE AS OF 09/30/13 (ID: 091929-63-8) EATON VANCE FLOATING-RATE ADVANTAGE I 09/30/13 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 09/30/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 10/01/13 INCOME DIVIDEND @ 0.008 PER SHARE (ID: 40428X-15-6) PRUDENTIAL TOTAL RETURN BD-Z 09/30/13 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 09/30/13 (ID: 744408-40-5) COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 09/30/13 INCOME DIVIDEND @ 0.071 PER SHARE AS OF 09/30/13 (ID: 19248X-30-7) DOUBLELINE TOTAL RET BD-I 09/30/13 INCOME DIVIDEND @ 0.048 PER SHARE AS OF 09/30/13 (ID: 258620-10-3) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I 09/30/13 INCOME DIVIDEND @ 0.076 PER SHARE AS OF 09/30/13 (ID: 52469H-59-4) 1,179.249 EFTA01566804 0.076 89.14 12,498.155 0.048 605.58 4,493.967 0.071 319.07 3,858.567 3,895.466 0.008 0.042 29.28 165.50 7,524.150 0.042 312.37 3,015.900 8,504.327 0.021 0.04 63.33 340.71 Quantity Cost Per Unit Amount Amount 0.30 Account Page 13 of 15 Consolifillillement Page 64 EFTA01566805 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/2 10/2 10/2 10/10 10/18 10/28 Div Domest Div Domest Div Domest Div Domest Description PIMCO EMERGING MARKETS CORPORATE BOND FUND 09/30/13 INCOME DIVIDEND @ 0.032 PER SHARE AS OF 09/30/13 (ID: 72201W-85-7) RIDGEWORTH SEIX FLOATING-I 10/01/13 INCOME DIVIDEND @ 0.029 PER SHARE AS OF 10/01/13 (ID: 76628T-67-8) TRP INST FLOATING RATE-F 09/30/13 INCOME DIVIDEND @ 0.031 PER SHARE AS OF 09/30/13 (ID: 77958B-10-5) SIT DIVIDEND GROWTH FUND-I 10/09/13 INCOME DIVIDEND @ 0.068 PER SHARE AS OF 10/09/13 (ID: 82980D-70-7) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 07-01-2013 TO 09-30-2013 Div Domest Total Inflows & Outflows PRUDENTIAL TOTAL RETURN BD-Z 10/24/13 INCOME DIVIDEND @ 0.040 PER SHARE AS OF 10/24/13 (ID: 74440B-40-5) $915.89 3,895.466 0.04 (1,798.16) 155.05 2,958.635 0.068 201.49 5,394.060 0.031 166.54 6,502.655 0.029 187.24 Quantity Cost EFTA01566806 Per Unit Amount 2,473.350 0.032 Amount 78.45 Account Page 14 of 15 Consolidated Statement Page 65 EFTA01566807 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 10/1/13 to 10/31/13 TRADE ACTIVITY Note: Trade Date Settle Date 10/24 10/25 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost PRUDENTIAL TOTAL RETURN BD-Z (ID: 744408-40-5) Quantity (3,895.466) Per Unit Amount 14.19 Proceeds 55,276.66 Tax Cost (56,795.89) Realized Gain/Loss (1,519.23) S Trade Date Settle Date Type Description Settled Securities Purchased 10/24 Purchase 10/25 METROPOLITAN WEST FDS TOTAL RET CL I (ID: 592905-50-9) Quantity 7,192.344 Per Unit Amount 10.71 Market Cost (77,030 Accountl IIIIIIIPage 15 of 15 Consolidated Statement Page 66 EFTA01566808 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566809 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP ARFI 270 P / York, NY 10017-2014 ACCT. For the Period 10/1/13 to 10/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Client Service Team www.jpmorganonline.com Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). 212/464-1536 212/464-2084 800/634-1318 Table of Contents Account Summary Page 2 Holdings Alternative Assets Cash & Fixed Income Portfolio Activity 4 5 7 Account Page 1 of 9 Consolidated Statement Page 67 EFTA01566810 GHISLAINE MAXWELL - TAP ARFI Account Summary Asset Allocation Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 360,377.56 632,540.59 $992,918.15 266.77 $993,184.92 Ending Market Value 405,925.49 593,142.50 $999,067.99 582.03 $999,650.02 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 (1,525.13) ($1,525.13) 1,648.99 6,025.98 $999,067.99 582.03 $999,650.02 Period Value 992,918.15 Change In Value 45,547.93 (39,398.09) $6,149.84 315.26 $6,465.10 Year-to-Date Value EFTA01566811 0.00 1,000,000.00 (3,856.08) $996,143.92 15,873.05 (12,948.98) $999,067.99 582.03 $999,650.02 Alternative Assets Estimated 8,401.46 15,492.76 Current Annual Income Allocation 41% 59% $23,894.22 100% Cash & Fixed Income Asset Allocation ACCT.INIIIIIIIII For the • 1/13 to 10/31/13 Account Page 2 of 9 Consolidated Statement Page 68 EFTA01566812 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 1,648.45 0.54 $1,648.99 Year-to-Date Value 14,703.69 3.63 $14,707.32 1,165.73 $1,165.73 Unrealized Gain/Loss To-Date Value ($8,686.20) ST Realized Gain/Loss Realized Gain/Loss Current Period Value (1,710.23) ($1,710.23) Year-to-Date Value (4,262.78) ACCT For the Period 10/1/13 to 10/31/13 Cost Summary Cash & Fixed Income 596,882.57 Cost Total $596,88 Account Page 3 of 9 Consolidated Statement Page 69 EFTA01566813 GHISLAINE MAXWELL - TAP ARFI Alternative Assets Summary Beginning Asset Categories Hedge Funds Estimated Value 360,377.56 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 9.86 PRU ABRTN FD Z 74441J-82-9 PADZ X Total Hedge Funds $405,925.49 $410,871.62 9,610.855 94,763.03 96,036.62 11.25 14,308.333 160,968.75 164,832.00 10.15 5,780.066 58,667.67 59,171.00 10.55 8,675.454 91,526.04 90,832.00 Quantity Estimated Value Cost ACCT. For the Period 10/1/13 to 10/31/13 Ending Estimated Value 405,925.49 Change In Value EFTA01566814 45,547.93 Current Allocation 41% AccountS Page 4 of 9 Consolidated Statement Page 70 EFTA01566815 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 41,065.11 591,475.48 $632, ACCT. For the Period 10/1/13 to 10/31/13 Ending Market Value 42,500.97 550,641.53 $593,142.50 Current Period Value 593,142.50 596,882.57 (3,740.07) 15,492.76 582.03 2.61% Cash & Fixed Income as a percentage of your portfolio 59 % SUMMARY BY TYPE Market Value 593,142.50 % 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 EFTA01566816 Mutual Funds Total Value Market Value 42,500.97 550,641.53 $593,142.50 % of Bond Portfolio 7% 93% 100% US Fixed Income Change In Value 1,435.86 (40,833.95) ($39,398.09) Current Allocation 4% 55% 59% Cash Asset Cate ories Account Page 5 of 9 Consolidated Statement Page 71 EFTA01566817 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 10/1/13 to 10/31/13 Note: This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 42,500.97 42,500.97 42,500.97 4.25 0.32 US Fixed Income DOUBLELINE TOTAL RET BD-I EATON VANCE FLOATING RATE-I 3PM TR I STRG INCM OPPTY FD - SEL 258620-10-3 9.17 277911-49-1 11.90 FUND 3844 4812A4-35-1 3PM TR I MLT SEC INCOME FD - SEL FUND 2130 48121A-29-0 RBC FDS TR BLUBAY ABRTR I 74926P-34-0 Total US Fixed Income $550,641.53 $554,381.60 ($3,740.07) $15,488.51 $581.71 2.81% 10.18 10.26 9,651.54 14,793.79 98,252.70 151,784.25 99,024.83 150,434.00 (772.13) 1,350.25 EFTA01566818 12,677.82 150,866.11 151,500.00 (633.89) 4,221.71 253.56 2,760.34 328.15 1,390.61 2.80% 2.81% 0.92% 5,463.94 50,104.36 50,159.00 (54.64) 2,016.19 4.02% 10.98 9,074.15 99,634.11 103,263.77 (3,629.66) 5,099.66 5.12% 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 72 EFTA01566819 GHISLAINE MAXWELL - TAP ARFI ACCT For the Period 10/1/13 to 10/31/13 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Income Contributions Total Inflows OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 44,629.00 (43,317.00) $1,312.00 $42,500.97 * 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 151,786.00 (1,121,302.00) ($969,516.00) -Current Period Value 41,065.11 1,648.99 $1,648.99 (1,525.13) ($1,525.13) Year-To-Date Value* -15,873.05 1,000,000.00 $1,015,873.05 (3,856.08) ($3,856.08) Account Page 7 of 9 Consolidated Statement Page 73 EFTA01566820 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 10/1/13 to 10/31/13 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/1 10/1 10/1 10/1 10/1 10/2 10/2 10/2 10/2 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 09/01/13 - 09/30/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $56,908.79 AS OF 10/01/13 JPM TR I STRG INCM OPPTY FD - SEL FUND 3844 @ 0.021 PER SHARE (ID: 4812A4-35-1) EATON VANCE FLOATING RATE-I 09/30/13 INCOME DIVIDEND @ 0.028 PER SHARE AS OF 09/30/13 (ID: 277911-49-1) HSBC FDS TOTAL RETURN I 10/01/13 INCOME DIVIDEND @ 0.008 PER SHARE (ID: 40428X-15-6) PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z 09/30/13 INCOME DIVIDEND @ 0.027 PER SHARE AS OF 09/30/13 (ID: 74441J-82-9) DOUBLELINE TOTAL RET BD-I 09/30/13 INCOME DIVIDEND @ 0.048 PER SHARE AS OF 09/30/13 (ID: 258620-10-3) GOLDMAN SACHS TR STRG INCM INST 09/30/13 INCOME DIVIDEND @ 0.020 PER SHARE AS OF 09/30/13 (ID: 38145C-64-6) PIMCO UNCONSTRAINED BOND-P 09/30/13 INCOME DIVIDEND @ 0.004 PER SHARE AS OF 09/30/13 (ID: 72201M-45-3) RBC FDS TR BLUBAY ABRTR I 09/30/13 INCOME DIVIDEND @ 0.008 PER SHARE AS OF 09/30/13 (ID: 74926P-34-0) 14,793.787 EFTA01566821 0.008 118.40 14,308.333 0.004 60.53 6,606.686 0.026 171.89 13,146.134 0.048 636.97 5,780.066 7,400.957 0.008 0.027 43.86 199.81 12,677.824 5,463.943 0.021 0.028 266.23 150.76 Quantity Cost Per Unit Amount Amount 0.54 Account Page 8 of 9 Consolidated Statement Page 74 EFTA01566822 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 10/1/13 to 10/31/13 INFLOWS & OUTFLOWS Type Settle Date Selection Method 10/18 Description Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 07-01-2013 TO 09-30-2013 Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date 10/2 10/3 Quantity Cost Per Unit Amount Amount (1,525.13) $123.86 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost DOUBLELINE TOTAL RET BD-I (ID: 258620-10-3) Quantity (4,071.989) Per Unit Amount 10.96 Proceeds 44,629.00 Tax Cost (46,339.23) Realized Gain/Loss (1,710.23) S Trade Date Settle Date Type Description Settled Securities Purchased 10/2 Purchase 10/3 10/2 EFTA01566823 10/3 Total Settled Securities Purchased Purchase PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z (ID: 74441J-82-9) GOLDMAN SACHS TR STRG INCM INST (ID: 38145C-64-6) Quantity 2,209.898 2,068.768 Per Unit Amount 9.80 10.47 Market Cost (21,657.00) (21,660.00) ($43,31 Account... Page 9 of 9 Consolidated Statement Page 75 EFTA01566824 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01566825 For the Period 10/1/13 to 10/31/13 For your convenience we have combined statement(s) for activity you conduct through J.P. Morgan in one package. Below are important disclosures relating to these different accounts. These statements may relate to various account types. Some of the disclosures are applicable to all of your accounts. For ease of reference the disclosures applicable to a particular type of account have been grouped together by descriptive headers. IMPORTANT GENERAL INFORMATION APPLICABLE TO ALL OF YOUR ACCOUNT(S) Important Information about Pricing ,Valuations, Estimated Annual Income, and Estimated Yield Market value information (including without limitation, prices, exchange rates, accrued income and bond ratings) furnished herein, some of which has been provided by pricing sources that J.P. Morgan believes to be reliable, is not guaranteed for accuracy but provided for informational purposes and is furnished for the exclusive use of the client. The current price is the value of the financial asset share, unit or contract as priced at the close of the market on the last day of the statement period or the last available price. All values provided for structured yield deposits (for example, JPMorgan London Time Deposits) reflect the original deposit amount only. The value for Real Estate, Mineral Interests and Miscellaneous Assets may not reflect the most current value of the asset. Important information regarding Auction Rate Securities (ARS). ARS are debt or preferred securities with an interest or dividend rate reset periodically in an auction. Although there may be daily, weekly and monthly resets, there is no guarantee that there will be liquidity. If there are not enough bids at an auction to redeem the securities available for sale, the result may be a failed auction. In the event of a failed auction, there is no assurance that a secondary market will develop or that the security will trade at par or any other price reflected on statements and online. Accordingly, investors should not rely on pricing information appearing in their statements or online with respect to ARS. When J.P. Morgan is unable to obtain a price from an internal or outside source for a particular ARS, the price column on your statement will indicate "unpriced". Valuations of over-the-counter derivative transactions, including certain derivatives-related deposit products, have been prepared on a mid-market basis. These valuations are sourced from the various issuers of the securities or they are sourced from a third party valuation provider. J.P. Morgan expressly disclaims any responsibility for (1) the accuracy of the models or estimates used in deriving the valuations, (2) any errors or omissions in computing or disseminating the valuations, and (3) any uses to which the valuations are put. Valuations are provided for information purposes only and are intended solely for your own use. Please refer to the trade confirmation for details of each transaction. Certain assets, including but not limited to, pooled and private investments, non-publicly traded and infrequently traded securities, derivatives, partnership interests and tangible assets are generally illiquid, the value of such asset may have been provided to us by third EFTA01566826 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 EFTA01566827 For the Period 10/1/13 to 10/31/13 Deposits in Foreign Branches are not insured by the FDIC or any other Agency of the Federal Government; amounts in such foreign accounts do not have the benefit of any domestic preference applicable to U.S Banks; certain Foreign accounts are considered reportable to the Internal Revenue Service on a Report of Foreign Bank and Financial Accounts (TD F 90-22.1). Bank products and services are offered through JPMorgan Chase Bank, N.A. ("JPMCB") and its banking affiliates. Securities are offered by J.P.Morgan Securities LLC ("JPMS") and, to the extent noted below, cleared through J.P. Morgan Clearing Corp. ("JPMCC"). Neither JPMS, nor JPMCC is a bank and are each separate legal entities from its bank or thrift affiliates. Investment Products: Not FDIC Insured -No Bank Guarantee -May Lose Value Fund manager disclosure information available upon request If you have an investment account that is managed by an SEC-Registered Investment Advisor, J.P. Morgan will provide a copy of the advisor's Form ADV II or brochure upon written request. These statements are not official documents for income tax reporting purposes and should not be relied upon for such purposes, including determination of income, cost basis, amortization or accretion, or gain/loss. Such information, which may be inaccurate, incomplete or subject to updating, should be confirmed with your records and your tax advisor. Please take the steps indicated below if you think statement(s) are incorrect or contact your J.P.Morgan team if you require additional information about a transaction on your statement(s). IMPORTANT ADDITIONAL INFORMATION APPLICABLE ONLY TO YOUR 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, EFTA01566828 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 EFTA01566829 For the Period 10/1/13 to 10/31/13 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. EFTA01566830 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 EFTA01566831 For the Period 10/1/13 to 10/31/13 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 EFTA01566832 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 EFTA01566833 For the Period 10/1/13 to 10/31/13 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 (800) 480-4111. 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 EFTA01566834 EFTA01566835