EFTA Document EFTA01567243

GHISLAINE MAXWELL 1000 VENETIAN WAY APT 801 MIAMI FL 33139-1043 EFTA01567243 EFTA01567244 For the Period 1/1/14 to 1/31/14 Account Summary Account Number Investment Account(s) GHISLAINE MAXWELL GHISLAINE MAXWELL GHISLAINE MAXWELL - OAP IHD GHISLAINE MAXWELL - TAP DYS GHISLAINE MAXWELL - TAP ARFI Total Value Beginning Net Market Value 5,259,275.95 430.00 1,967,979.33 1,036,516.92 1,003,477.16 $9,267,679.36 Ending Net Market Value 5,246,357.70 430.00 1,851,554.52 1,036,361.25 1,004,799.02 $9,139,502.49 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). EFTA01567245 Change In Value (12,918.25) 0.00 (116,424.81) (155.67) 1,321.86 ($128,176.87) Start on Page 4 34 38 52 66 Client News 2013 Year-End Tax 1099's You will be able to view your 2013 Form 1099 online beginning February 21, 2014. Unless you have selected edelivery, you should expect to receive them via mail shortly thereafter. You may contact your J.P. Morgan Team with any questions. 0000037975.00.0.9E.00001.MAXWE04.20140204 Consolidated Statement Page 1 EFTA01567246 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567247 For the Period 1/1/14 to 1/31/14 Consolidated Summary INVESTMENT ACCOUNTS Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 3,236,068.58 691,675.62 5,164,464.07 162,555.11 $9,254,763.38 12,915.98 $9,267,679.36 Ending Market Value 3,119,029.47 723,324.88 5,120,049.43 162,777.00 $9,125,180.78 14,321.71 $9,139,502.49 Change In Value (117,039.11) 31,649.26 (44,414.64) 221.89 ($129,582.60) 1,405.73 ($128,176.87) Equity $192,469.84 Estimated 116,166.95 15,605.55 60,697.34 Current Annual Income Allocation 34% 8% 56% 2% 100% EFTA01567248 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 9,254,763.38 (8,921.91) 16,531.53 (137,192.22) $9,125,180.78 14,321.71 $9,139,502.49 Year-to-Date Value 9,254,763.38 (8,921.91) 16,531.53 (137,192.22) $9,125,180.78 14,321.71 $9,139,502.49 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 EFTA01567249 For the Period 1/1/14 to 1/31/14 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 IIIIIIIIIII Beginning Market Value 5,251,123.87 430.00 1,964,165.75 1,036,257.60 1,002,786.16 $9,254,763.38 Taxable Income 8,416.25 2,430.74 2,563.29 2,428.61 $15,838.89 (5,855.42) (1,872.22) (1,194.27) ($8,921.91) Tax-Exempt Income 692.64 EFTA01567250 9,150.32 400.50 $692.64 'Unrealized Gain/Loss represents data from the time of account inception to the current statement period. (1,968.26) $7,582.56 Other Income & Receipts 2,430.74 2,563.29 2,428.61 $16,531.53 (112,802.15) (746.72) 422.86 ($137,192.22) Realized Gain/Loss Short-term Long-term Net Contributions/ Withdrawals Income & Distributions 9,108.89 Change in Investment Value (24,066.21) Ending Market Value with Accruals 5,246,357.70 430.00 1,851,554.52 1,036,361.25 1,004,799.02 $9,139,502.49 Unrealized Gain/Loss' 77,686.30 81,160.12 8,364.12 (7,966.75) $159,243.79 CONTINUED Consolidated Statement Page 3 EFTA01567251 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL 270 Park Avenue, New York, NY 10017-2014 ACCT. Q52167006 For the Period 1/1/14 to 1/31/14 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 Account Q52167006 Page 1 of 30 Consolidated Statement Page 4 EFTA01567252 GHISLAINE MAXWELL Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 1,133,131.66 57,276.79 3,898,160.31 162,555.11 $5,251,123.87 8,152.08 $5,259,275.95 Ending Market Value 1,117,026.41 59,229.07 3,897,134.07 162,777.00 $5,236,166.55 10,191.15 $5,246,357.70 Current Portfolio Activity Beginning Market Value 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 Period Value 5,251,123.87 (229.45) 1,237,066.20 (1,236,836.75) $0.00 9,108.89 (24,066.21) $5,236,166.55 10,191.15 $5,246,357.70 EFTA01567253 Change In Value (16,105.25) 1,952.28 (1,026.24) 221.89 ($14,957.32) 2,039.07 ($12,918.25) Year-to-Date Value 5,251,123.87 (229.45) 1,237,066.20 (1,236,836.75) $0.00 9,108.89 (24,066.21) $5,236,166.55 10,191.15 $5,246,357.70 Estimated 50,043.72 21,151.37 $71,195.09 Current Annual Income Allocation 22% 1% 74% 3% 100% Cash & Fixed Income Equity Other Alternative Assets Asset Allocation ACCT. For the Period 1/1/14 to 1/31/14 Account 052167006 Page 2 of 30 Consolidated Statement Page 5 EFTA01567254 GHISLAINE MAXWELL Account Summary Tax Summary Domestic Dividends/Distributions Foreign Dividends Interest Income Taxable Income Tax-Exempt Income Bond Premium Amortization Tax-Exempt Income CONTINUED Current Period Value 1,465.47 729.33 6,221.45 $8,416.25 1,250.00 (557.36) $692.64 Year-to-Date Value 1,465.47 729.33 6,221.45 $8,416.25 1,250.00 (557.36) $692.64 Unrealized Gain/Loss ACCT. Q52167006 For the Period 1/1/14 to 1/31/14 To-Date Value $77,686.30 Note: * This summary is for informational purposes only and is not to be used for any financial or tax purposes. This summary does not include securities which are taxable at the federal level but are state exempt. This summary may not include all income derived from Municipal Securities; Please consult your tax advisor for tax implications. 1 Other category combines all the remaining Tax Exempt Income generated by securities in the account which may not have a state affiliation. Tax-Exempt Income Summary by State* MA Current Period Value 692.64 Year-to-Date Value 692.64 EFTA01567255 Tax-Exempt Income Summary by State* Tax-Exempt Income Current Period Value $692.64 Year-to-Date Value $692.64 Account 052167006 Page 3 of 30 Consolidated Statement Page 6 EFTA01567256 GHISLAINE MAXWELL ACCT For the Period 1/1/14 to 1/31/14 Account Summary Cost Summary Equity Cash & Fixed Income Other Total CONTINUED Cost 1,034,682.24 3,888,990.50 92,027.29 Account age 4 of 30 Consolidated Statement Page 7 EFTA01567257 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 511,226.25 14,220.00 169.41 442,270.00 165,246.00 $1,133,131 66 Ending Market Value 495,228.99 15,060.00 159.92 440,937.00 165,640.50 $1,117,026.41 Current Period Value 1,117,026.41 1,034,682.24 82,344.17 50,043.72 4,855.43 4.47% Preferred Stocks Equity as a percentage of your portfolio - 22 % Change In Value (15,997.26) 840.00 (9.49) (1,333.00) 394.50 ($16,105.25) Current EFTA01567258 Allocation 9% 1% 1% 8% 3% 22% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Categories ACCT. Q52167006 For th • 1/14 to 1/31/14 Accoun Page 5 of 30 Console a e a ement Page 8 EFTA01567259 GHISLAINE MAXWELL ACCT. 4.0110111 For the Period 1/1/14 to 1/31/14 Equity Detail Price US Large Cap Equity APACHE CORP 037411-10-5 APA BANK OF AMERICA CORP CITIGROUP INC NEW GENERAL MOTORS CO SCHLUMBERGER LTD SPDR S&P 500 ETF TRUST TWITTER INC 060505-10-4 BAC 47.43 172967-42-4 C 36.08 37045V-10-0 GM 87.57 806857-10-8 SLB 178.18 78462F-10-3 SPY 64.50 90184L-10-2 TWTR Total US Large Cap Equity $495,228.99 $435,852.56 $59,376.43 $6,966.22 $22.58 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN 1.41% 2,000.000 129,000.00 90,320.00 38,680.00 1,495.000 266,379.10 250,407.85 15,971.25 5,009.74 1.88% 113.000 9,895.41 9,524.04 371.37 180.80 1.83% EFTA01567260 1,373.000 49,537.84 50,000.00 (462.16) 358.000 16,979.94 14,048.52 2,931.42 14.32 3.58 1,647.60 0.08% 3.33% 16.75 944.000 15,812.00 10,148.85 5,663.15 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 80.26 95.000 7,624.70 11,403.30 (3,778.60) 76.00 19.00 37.76 1.00% 0.24% 5.02 3,000.000 15,060.00 18,129.32 (3,069. AccouniiiiiiiiiiiiiPage 6 of 30 Consolidated Statement Page 9 EFTA01567261 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 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 25.71 2,500.000 64,275.00 $440,937.00 62,500.00 $422,578.96 1,775.00 $18,358.04 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 6.51% 7.08% 25.11 4,200.000 105,462.00 98,778.96 6,683.04 7,350.00 1,837.50 6.97% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01567262 Accrued Div. Yield 53.31 3.000 159.92 212.23 (52.31) 27.12 10,000.000 271,200.00 261,300.00 9,900.00 19,690.00 7.26% 110.43 150,000.000 165,640.50 157,909.17 7,731.33 11,850.00 2,995.35 7.09% Account Page 7 of 30 Consolidated Statement Page 10 EFTA01567263 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Alternative Assets Summary Beginning Asset Categories Hard Assets Estimated Value 57,276.79 Alternative Assets Detail Price Hard Assets ETFS METAL SECURITIES LTD ISIN JE0081VS3770 SEDOL BlVS377 131994-91-5 SPDR GOLD TRUST Total Hard Assets 78463V-10-7 GLD $59,229.07 $76,999.78 120.09 190.000 22,817.10 31,931.40 120.97 301.000 36,411.97 45,068.38 Quantity Estimated Value Cost Est. Annual Income Accrued Income Ending Estimated Value 59,229.07 Change In Value 1,952.28 Current Allocation 1% Account Page 8 of 30 Consolidated Statement Page 11 EFTA01567264 GHISLAINE MAXWELL ACCT. "RI For the Period 1/1/14 to 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 2,789,951.38 919.76 315,070.53 629,040.76 163,177.88 $3,898,160.31 Ending Market Value 2,798,694.16 1,605.21 302,857.94 629,761.77 164,214.99 $3,897,134.07 Current Period Value 3,897,134.07 3,888,990.50 8,143.57 21,151.37 5,335.72 0.41% Change In Value 8,742.78 685.45 (12,212.59) 721.01 1,037.11 ($1,026.24) Current Allocation EFTA01567265 52% 1% 6% 12% 3% 74% Non-US Fixed Income Non-USD Cash Non-USD Short Term Cash Asset Categories US Fixed Income Cash & Fixed Income as a percentage of your portfolio 74 % Account Q52167006 Page 9 of 30 Consolidated Statement Page 12 EFTA01567266 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1-5 years, 10+ years, Total Value 1 SUMMARY BY TYPE Market Value 3,370,548.07 310,146.50 216,439.50 $3,897,134.07 % 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 NY MUNI MMKT FD - MORGAN FUND 3 7-Day Annualized Yield: .01% Total Cash 1.00 1.00 2,798,693.16 1.00 2,798,693.16 1.00 $2,798,694.16 2,798,693.16 1.00 $2,798,694.16 $0.00 $279.86 $23.27 0.01% EFTA01567267 279.86 23.27 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 2,798,694.16 1,605.21 310,146.50 216,439.50 548,252.19 21,996.51 $3,897,134.07 % of Bond Portfolio 72% 1% 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 in the account. Account Page 10 of 30 Consolidated Statement Page 13 EFTA01567268 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Price Non-USD Cash POUND STERLING Non-USD Short Term JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/29/2014 MATURITY 02/05/2014 HELD BY LONDON TREASURY SERVICES Bearer 2538N9-9B-0 AD JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/30/2014 MATURITY 02/06/2014 HELD BY LONDON TREASURY SERVICES Bearer 253809-9B-9 OK Total Non-USD Short Term $302,857.94 $324,667.54 ($21,809.60) $2,333.96 $14.65 US Fixed Income JPM MANAGED RESERVES FD - GBP-C-DIST ISIN LU0539309053 051398-91-5 BP ISHARES GBP CORPORATE BOND UCITS ETF ISIN IE0OBOOFV011 SEDOL BOOFV01 461278-91-3 BP 209.49 105.00 21,996.51 19,023.08 2,973.43 10,492.34 7.74 81,179.26 81,082.31 96.95 0.80% 15.90 1,247,737.49 198,376.32 210,593.58 (12,217.26) 1,686.19 9.32 0.89% Quantity EFTA01567269 Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 1.64 976.73 1,605.21 1,609.84 (4.63) 89.69 116,491.78 104,481.62 114,073.96 (9,592.34) 647.77 5.33 0.63% Account Page 11 of 30 Consolidated Statement Page 14 EFTA01567270 ACCT. LL For the Period 1/1/14 to 1/31/14 Price US Fixed Income 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 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 108.97 100,000.00 108,968.00 106,275.86 110,503.00 2,692.14 5,000.00 2,305.50 4.19% 109.70 50,000.00 54,851.50 53,071.32 55,424.00 1,780.18 2,500.00 833.30 4.01% 104.96 150,000.00 157,441.50 EFTA01567271 150,000.00 7,441.50 5,400.00 1,140.00 1.77% 99.92 50,000.00 49,960.00 45,394.50 4,565.50 237.55 54.10 0.51% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield 102.75 100,000.00 102,745.00 100,000.00 2,745.00 2,900.00 853.80 1.27% Account age 12 of 30 Consoli ent Page 15 EFTA01567272 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Price US Fixed Income 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 $629,761.77 $606,513.64 $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 $164,214.99 $157,505.32 $6,709.67 $0.00 0.00% 21.47 5,790.00 124,320.99 118,212.32 6,108.67 212.32 187.90 39,894.00 39,293.00 601.00 $23,248.13 $18,537.55 $5,297.80 2.15% 105.24 50,000.00 52,620.00 51,666.57 54,040.00 953.43 2,500.00 111.10 EFTA01567273 4.58% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 13 of 30 Consolidated Statement Page 16 EFTA01567274 GHISLAINE MAXWELL ACCT For the Period 1/1/14 to 1/31/14 Other Summary Asset Categories Balanced Beginning Estimated Value 162,555.11 Ending Estimated Value 162,777.00 Change In Value 221.89 Current Allocation 3% Current Market Value/Cost Estimated Value Tax Cost Estimated Gain/Loss Note: ** Period Value 162,777.00 92,027.29 4,969.27 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 149.78 450.272 67,443.55 1,663.11 ** N/A Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accrual Account Page 14 of 30 EFTA01567275 Consolidated Statement Page 17 EFTA01567276 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Price Balanced PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 695421-91-7 BP Total Balanced $162,777.00 $92,027.29 $4,969.27 21.86 4,361.513 95,333.45 90,364.18 4,969.27 Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 15 of 30 Consolidated Statement Page 18 EFTA01567277 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary - U S Dollar Beginning Cash Balance PRINCIPAL Current Transactions INFLOWS Total Inflows Income Ending Cash Balance Period Value 2,789,950.38 8,742.78 $8,742.78 $2,798,693.16 Year-To-Date Value* -8,742.78 $8,742.78 -INCOME Current Period Value 0.00 Year-To-Date Value* -$0.00 $0.00 $0.00 -Current Cost Adjustments Amortization Total Cost Adjustments Period Value (557.36) ($557.36) * 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 Year-To-Date Value* (557.36) ($557.36) Account age 16 of 30 Consolidated Statement Page 19 EFTA01567278 GHISLAINE MAXWELL ACCT .I= For the Period 1/1/14 to 1/31/14 Portfolio Activity Detail - U S Dollar INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/2 1/2 1/10 1/15 Interest Income Interest Income Foreign Dividend Municipal Interest Description DEPOSIT SWEEP INTEREST FOR 12/01/13 - 12/31/13 @ .01% RATE ON AVG COLLECTED BALANCE OF $2,789,905.59 AS OF 01/01/14 JPM CHASE CAPITAL XXIX 6.7% PFD @ 0.41875 PER SHARE (ID: 48125E-20-7) SCHLUMBERGER LTD @ 0.3125 PER SHARE (ID: 806857-10-8) 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 (ID: 57586C-FW-0) 1/30 1/31 Interest Income Div Domest Total Inflows & Outflows CITIGROUP CAPITAL XIII 7 7/8% PFD @ 0.492187 PER SHARE (ID: 173080-20-1) SPDR S&P 500 ETF TRUST @ 0.98025 PER SHARE (ID: 78462F-10-3) 10,000.000 1,495.000 0.492 0.98 4,921.87 1,465.47 $8,742.78 2,500.000 113.000 50,000.000 0.419 0.312 0.025 1,046.88 35.31 1,250.00 EFTA01567279 Quantity Cost Per Unit Amount PRINCIPAL Amount 23.25 INCOME Amount Account Page 17 of 30 Consolidated Statement Page 20 EFTA01567280 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 COST ADJUSTMENTS Settle Date 1/15 Type Amortization Description 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 MUNICIPAL BOND PREMIUM AMORTIZATIO (ID: 57586C-FW-0) Quantity 50,000.000 Cost Basis Adjustments (557.36) Account Page 18 of 30 Consolidated Statement Page 21 EFTA01567281 GHISLAINE MAXWELL ACCT. a For the Period 1/1/14 to 1/31/14 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 -60.76 $60.76 (60.76) ($60.76) -Year-To-Date Value* -60.76 $60.76 (60.76) ($60.76) -Local Value Current Period Value 0.00 66.19 66.19 (66.19) (66.19) 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 EFTA01567282 Year-To-Date Value* --Year-To-Date Value* -66.19 66.19 (66.19) (66.19) Page 19 of 30 Consolidated Statement Page 22 EFTA01567283 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary - Canadian Dollar Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 426,905.54 (426,844.78) Year-To-Date Value* 426,905.54 (426,844.78) * 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 1/6 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 12/27/2013 MATURITY 01/06/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538E9-9D-6) 1/6 1/13 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 01/06/2014 MATURITY 01/13/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538F9-9Z-6) 1/13 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) (14.040) (12.85) (14.04) Account Page 20 of 30 Consolidated Statement Page 23 (20.050) 116,445.640 (18.88) (20.05) EFTA01567284 12.85 14.04 Quantity 116,425.590 Amount USD Local Value PRINCIPAL Amount USD Local Value 18.88 20.05 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01567285 GHISLAINE MAXWELL ACC For the Period 1/1/14 to 1/31/14 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 1/21 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/13/2014 MATURITY 01/21/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538H9-9U-5) 1/21 1/29 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 01/21/2014 MATURITY 01/29/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538K9-9P-2) 1/29 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 1/6 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/06/2014 MATURITY 01/13/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538F9-9Z-6) (16.050) (14.37) (16.05) $0.00 (16.050) 116,475.730 (14.66) (16.05) 14.37 16.05 Quantity 116,459.680 Amount USD Local Value EFTA01567286 PRINCIPAL Amount USD Local Value 14.66 16.05 INCOME Amount USD Local Value Currency Gain/Loss USD * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Quantity Cost 116,445.640 114,032.08 Transaction Market Value * 109,621.69 Account Page 21 of 30 Consolidated Statement Page 24 EFTA01567287 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Notes: * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Settle Date Selection Method Securities Transferred In 1/13 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/13/2014 MATURITY 01/21/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538H9-9U-5) 1/21 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/21/2014 MATURITY 01/29/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538K9-9P-2) 1/29 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/29/2014 MATURITY 02/05/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538N9-9B-0) Total Securities Transferred In Securities Transferred Out 1/6 Free Delivery $426,905.54 116,491.780 114,073.96 104,294.53 116,475.730 114,059.59 106,365.67 Quantity Cost 116,459.680 114,044.93 Transaction Market Value * 106,623.65 JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 12/27/2013 MATURITY 01/06/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538E9-9D-6) EFTA01567288 1/13 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/06/2014 MATURITY 01/13/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538F9-9Z-6) (116,445.640) 114,032.08 (106,610.79) (116,425.590) 114,013.20 (109,61.6m Accoun Page 22 of 30 Consolidated Statement Page 25 EFTA01567289 GHISLAINE MAXWELL ACCT For the Period 1/1/14 to 1/31/14 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 1/21 Free Delivery Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/13/2014 MATURITY 01/21/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538H9-9U-5) 1/29 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/21/2014 MATURITY 01/29/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538K9-9P-2) Total Securities Transferred Out ($426,844.78) (116,475.730) 114,059.59 (104,280.16) Quantity Cost (116,459.680) 114,044.93 Transaction Market Value * (106,35 Account Page 23 of 30 Consolidated Statement Page 26 EFTA01567290 GHISLAINE MAXWELL ACCT.IIIIIIM For the Period 1/1/14 to 1/31/14 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 -168.69 $168.69 (168.69) ($168.69) -Year-To-Date Value* -168.69 $168.69 (168.69) ($168.69) -Local Value Current Period Value 0.00 1,039.23 1,039.23 (1,039.23) (1,039.23) 0.00 INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 EFTA01567291 Year-To-Date Value* --Year-To-Date Value* -1,039.23 1,039.23 (1,039.23) (1,039.23) Ai. Page 24 of 30 Consolidated Statement Page 27 EFTA01567292 GHISLAINE MAXWELL ACCT I For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary - Norwegian Krone Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 810,160.66 (809,991.97) Year-To-Date Value* 810,160.66 (809,991.97) * 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 Portfolio Activity Detail - Norwegian Krone INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 1/7 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2538E9-9P-9) 1/7 1/14 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2538H9-9A-9) 1/14 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) (206.110) (33.67) (206.11IIIIIIIII, Account Page 25 of 30 Consolidated Statement Page 28 (361.890) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,060.150 0.8500% DATED 01/07/2014 MATURITY 01/14/2014 (58.70) (361.89) 33.67 206.11 Quantity EFTA01567293 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,246,698.260 0.9500% DATED 12/27/2013 MATURITY 01/07/2014 Amount USD Local Value PRINCIPAL Amount USD Local Value 58.70 361.89 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01567294 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 1/22 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2538J9-9N-9) 1/22 1/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2538L9-9U-0) 1/30 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 1/7 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/07/2014 MATURITY 01/14/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538H9-9A-9) (235.640) (38.18) (235.64) $0.00 (235.590) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,501.850 0.8500% DATED 01/22/2014 MATURITY 01/30/2014 (38.14) (235.59) 38.18 235.64 Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,266.260 0.8500% DATED 01/14/2014 MATURITY 01/22/2014 Amount USD Local Value PRINCIPAL Amount USD EFTA01567295 Local Value 38.14 235.59 INCOME Amount USD Local Value Currency Gain/Loss USD * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Quantity Cost 1,247,060.150 210,483.59 Transaction Market Value * 202,288.83 Account Page 26 of 30 Consolidated Statement Page 29 EFTA01567296 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Notes: * Transaction Market Value is representative of the prior trading day's market value. This is for informational purposes only and is not to be used for any financial or tax purposes. The Transaction Market Value shown is in USD. Type Settle Date Selection Method Securities Transferred In 1/14 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/14/2014 MATURITY 01/22/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538J9-9N-9) 1/22 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/22/2014 MATURITY 01/30/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538L9-9U-0) 1/30 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/30/2014 MATURITY 02/06/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 253809-9B-9) Total Securities Transferred In Securities Transferred Out 1/7 Free Delivery $810,160.66 1,247,737.490 210,593.58 202,159.33 1,247,501.850 210,555.40 201,962.44 Quantity Cost 1,247,266.260 210,517.26 Transaction Market Value * 203,750.06 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.9500% DATED 12/27/2013 MATURITY 01/07/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538E9-9P-9) EFTA01567297 1/14 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/07/2014 MATURITY 01/14/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538H9-9A-9) (1,247,060.150 ) 210,483.59 (203,716.39) (1,246,698.260 ) 210,424.89 (202,230.13) Account 6 Page 27 of 30 Consolidated Statement Page 30 EFTA01567298 GHISLAINE MAXWELL ACCT. la. For the Period 1/1/14 to 1/31/14 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 1/22 Free Delivery Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/14/2014 MATURITY 01/22/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 253839-9N-9) 1/30 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 01/22/2014 MATURITY 01/30/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538L9-9U-0) Total Securities Transferred Out ($809,991.97) (1,247,501.850 ) 210,555.40 (202,121.15) Quantity Cost (1,247,266.260 ) 210,517.26 Transaction Market Value * (201,92 Account Page 28 of 30 Consolidated Statement Page 31 EFTA01567299 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary - Pound Sterling PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income Ending Cash Balance Period Value -694.02 $694.02 -Year-To-Date Value* -694.02 $694.02 -Local Value Current Period Value 555.33 421.40 421.40 976.73 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 * 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 Year-To-Date Value* --Year-To-Date Value* -421.40 EFTA01567300 421.40 Page 29 of 30 Consolidated Statement Page 32 EFTA01567301 GHISLAINE MAXWELL ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Detail - Pound Sterling INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 1/9 Foreign Dividend Description BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 @ 2.2427 PER SHARE CONY. @ "CONV RATE" (ID: G13289-92-4) Quantity 187.898 Amount USD Local Value 3.694 2.243 PRINCIPAL Amount USD Local Value 694.02 421.40 INCOME Amount USD Local Value Currency Gain/L Accounall. Page 30 of 30 Consolidated Statement Page 33 EFTA01567302 J.P. Morgan Securities LLC GHISLAINE MAXWELL 383 Madison Avenue, New York, NY 10179 ACCT. For the Period 1/1/14 to 1/31/14 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 Page 1 of 4 Consolidated Statement Page 34 EFTA01567303 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% 1006 ACCT. IIIIIIIII For the Period 1/1/14 to 1/31/14 Account 24155873 Page 2 of 4 Consolidated Statement Page 35 EFTA01567304 GHISLAINE MAXWELL ACCT For the Period 1/1/14 to 1/31/14 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 36 EFTA01567305 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 For the Period 1/1/14 to 1/31/14 No Activity Th• Period Account Page 4 of 4 Consolidated Statement Page 37 EFTA01567306 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD 270 ACCT.'S. , New York, NY 10017-2014 For the Period 1/1/14 to 1/31/14 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 14 Consolidated Statement Page 38 EFTA01567307 GHISLAINE MAXWELL - OAP IHD Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,964,165.75 $1,964,165.75 3,813.58 $1,967,979.33 Ending Market Value 1,847,938.92 $1,847,938.92 3,615.60 $1,851,554.52 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 1,964,165.75 (5,855.42) ($5,855.42) 2,430.74 (112,802.15) $1,847,938.92 3,615.60 $1,851,554.52 Change In Value (116,226.83) ($116,226.83) (197.98) ($116,424.81) Year-to-Date Value 1,964,165.75 (5,855.42) ($5,855.42) 2,430.74 (112,802.15) EFTA01567308 $1,847,938.92 3,615.60 $1,851,554.52 Estimated 62,900.42 $62,900.42 Current Annual Income Allocation 100% 100% ACCT. For the Period 1/1/14 to 1/31/14 Account Page 2 of 14 Consolidated Statement Page 39 EFTA01567309 GHISLAINE MAXWELL OAP IHD Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 2,429.49 1.25 $2,430.74 Year-to-Date Value 2,429.49 1.25 $2,430.74 Unrealized Gain/Loss To-Date Value $81,160.12 ST Realized Gain/Loss Realized Gain/Loss Current Period Value 9,150.32 $9,150.32 Year-to-Date Value 9,150.32 ACCT. For the Period 1/1/14 to 1/31/14 Cost Summary Equity Total 1,766,778.80 Cost $1,766,778.80 Account Page 3 of 14 Consolidated Statement Page 40 EFTA01567310 GHISLAINE MAXWELL - OAP IHD Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,964,165.75 Ending Market Value 1,847,938.92 Change In Value (116,226.83) Current Allocation 100% ACCT. For the Period 1/1/14 to 1/31/14 Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Period Value 1,847,938.92 1,766,778.80 81,160.12 62,900.42 3,615.60 3.40% Account Page 4 of 14 Consolidated Statement Page 41 EFTA01567311 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Note: P indicates position adjusted for Pending Trade Activity. This is the Annual Percentage Yield (APY) which is the rate earned if balances remain on deposit for a full year with compounding, there is no change in the interest rate and all interest is left in the account. Equity Detail Price 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 BNP PARIBAS ADR 05565A-20-2 BNPQ Y 38.87 1,195.000 46,449.65 47,674.46 (1,224.81) 811.40 1.75% 63.95 435.000 27,818.25 32,227.68 (4,409.43) 1,009.20 3.63% 28.52 132.00 EFTA01567312 1,000.000 245.000 28,520.00 32,339.76 22,160.00 24,491.20 6,360.00 7,848.56 1,196.00 442.22 4.19% 1.37% 2.79 63.50 4,875.000 365.000 13,581.75 23,177.50 17,770.91 18,351.75 (4,189.16) 4,825.75 351.00 1,022.00 2.58% 4.41% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 24.84 2,200.000 54,648.00 47,460.92 7,187.08 1,548.80 2.83% Accounts Page 5 of 14 Consolidated Statement Page 42 EFTA01567313 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Price EAFE Equity BOC HONG KONG HOLDINGS LTD SPONS ADR 096813-20-9 BHKL Y BRITISH AMERICAN TOBACCO PLC SPONS ADR 110448-10-7 BTI COST OF PENDING PURCHASES 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 HSBC IMPERIAL TOBACCO PLC ADR 453142-10-1 ITYB Y KIRIN HOLDINGS COMPANY LTD SPONS ADR 4973504,666almy Account Page 6 of 14 Consolidated Statement Page 43 13.58 3,010.000 40,875.80 48,510.86 (7,635.06) 833.77 338.28 2.04% 73.48 515.000 37,842.20 36,270.85 1,571.35 1,895.20 1,196.23 5.01% 51.49 EFTA01567314 1,145.000 58,956.05 62,810.83 (3,854.78) 2,748.00 4.66% 51.54 1,015.000 52,313.10 48,412.36 3,900.74 2,445.13 4.67% 22.19 1,980.000 43,936.20 42,100.10 1,836.10 2,684.88 6.11% 34.55 1,360.000 46,988.00 31,554.75 15,433.25 1,206.32 2.57% 1.00 16.17 (7,088.220) 4,270.000 (7,088.22) 69,045.90 (7,088.22) 58,928.15 10,117.75 3,825.92 5.54% 95.99 590.000 56,634.10 62,046.30 (5,412.20) 2,552.34 4.51% 60.37 555.000 33,505.35 36,821.52 (3,316.17) 1,748.80 EFTA01567315 5.22% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield EFTA01567316 GHISL L - OAP IHD ACCT. For t e erio /1/14 to 1/31/14 Price EAFE Equity LUKOIL OAO SPONS ADR MTN GROUP LTD 677862-10-4 LUKO Y 17.90 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 P ORKLA A S A SPONS A/D/R 686331-10-9 ORKL Y RECKITT BENCKISER GROUP PLC SPONSORED ADR 756255-20-4 RBGL Y ROCHE HOLDINGS LTD SPONS ADR 771195-10-4 RHHB Y 68.60 700.000 48,020.00 39,379.81 8,640.19 1,136.80 2.37% 15.10 3,540.000 53,436.30 48,749.99 4,686.31 1,454.94 2.72% 7.84 2,725.000 21,364.00 21,938.45 EFTA01567317 (574.45) 926.50 4.34% 26.96 79.07 2,210.000 975.000 59,581.60 77,093.25 58,374.87 68,101.01 1,206.73 8,992.24 1,613.30 2,005.57 2.71% 2.60% 72.65 1,055.000 76,645.75 73,413.83 3,231.92 1,915.88 2.50% 20.70 2,610.000 54,027.00 48,665.02 5,361.98 1,618.20 3.00% 2,625.000 46,987.50 49,970.21 (2,982.71) 1,929.37 4.11% 57.00 1,035.000 58,995.00 64,776.50 (5,781.50) 3,783.96 6.41% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01567318 Accrued Div. Yield Account Page 7 of 14 Consolidated Statement Page 44 EFTA01567319 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Price EAFE Equity ROYAL DUTCH SHELL PLC ADR 780259-10-7 RDS B SANOFI 80105N-10-5 SNY 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 15.82 1,520.000 24,046.40 25,456.73 (1,410.33) 980.40 4.08% 36.27 690.000 25,026.30 27,215.25 (2,188.95) 841.11 3.36% 16.92 830.000 14,043.60 14,793.04 (749.44) 332.83 EFTA01567320 2.37% 23.71 1,450.000 34,379.50 35,974.62 (1,595.12) 1,245.55 3.62% 27.60 23.64 1,765.000 1,575.000 48,714.00 37,225.13 51,172.92 30,754.80 (2,458.92) 6,470.33 72.83 48.90 126.29 400.000 1,195.000 500.000 29,132.00 58,435.50 63,145.00 27,957.37 60,068.51 52,917.17 1,174.63 (1,633.01) 10,227.83 1,440.00 1,499.72 1,506.50 1,101.77 2,248.61 960.75 4.94% 2.57% 2.39% 4.62% 2.58% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. EFTA01567321 Accrued Div. Yield Account Page 8 of 14 Consolidated Statement Page 45 EFTA01567322 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Price EAFE Equity TOTAL SA SPONS ADR 89151E-10-9 TOT UNILEVER N V 904784-70-9 UN UNITED OVERSEAS BANK LTD SPONS ADR 911271-30-2 UOVE Y US DOLLAR VODAFONE GROUP PLC SPONS ADR 92857W-20-9 VOD ZURICH INSURANCE GROUP-ADR Total EAFE Equity 989825-10-4 ZURV Y $1,847,938.92 $1,766,778.80 $81,160.12 $62,900.42 $3,615.60 3.40% 28.96 2,025.000 58,644.00 55,630.28 3,013.72 37.34 30.85 1.00 37.06 1,630.000 1,250.000 68,258.300 1,905.000 60,864.20 38,560.00 68,258.30 70,599.30 66,467.39 39,130.24 68,258.30 53,061.37 17,537.93 (5,603.19) (570.24) 1,990.23 1,186.25 EFTA01567323 20.47 1.34 3,072.76 977.98 3.27% 3.08% 0.03% 4.35% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 57.17 1,070.000 61,171.90 54,046.70 7,125.20 2,869.74 4.69% Account Page 9 of 14 Consolidated Statement Page 46 EFTA01567324 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Withdrawals Fees & Commissions Tax Payments Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 79,131.50 (62,524.69) $16,606.81 $68,258.30 * 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 79,131.50 (62,524.69) $16,606.81 -Current Period Value 55,076.17 2,430.74 $2,430.74 (49.30) (5,547.52) (258.60) ($5,855.42) Year-To-Date Value* -2,430.74 $2,430.74 (49.30) (5,547.52) (258.60) ($5,855.42) Account V49920008 Page 10 of 14 Consolidated Statement Page 47 EFTA01567325 EFTA01567326 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/2 1/7 1/7 1/9 1/16 1/21 1/21 1/23 1/23 Interest Income Foreign Dividend FGN Tax Withheld Foreign Dividend Expenses Description DEPOSIT SWEEP INTEREST FOR 12/01/13 - 12/31/13 @ .03% RATE ON AVG COLLECTED BALANCE OF $52,882.97 AS OF 01/01/14 TOTAL SA SPONS ADR @ 0.805619 PER SHARE (ID: 89151E-10-9) TOTAL SA SPONS ADR TAX WITHHELD FRANCE 30.00% (ID: 89151E-10-9) GLAXOSMITHKLINE PLC SPONS ADR @ 0.616094 PER SHARE (ID: 37733W-10-5) ROCHE HOLDINGS LTD SPONS ADR ADR FEE TO HOLDERS OF RECORD DATE 11/18/13 (ID: 771195-10-4) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 10-01-2013 TO 12-31-2013 Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT FEE FOR 10-01-2013 TO 12-31-2013 Foreign Dividend Expenses Total Inflows & Outflows SINGAPORE TELECOMMUNICATIONS LTD ADR @ 0.533793 PER SHARE AS OF 01/21/14 (ID: 82929R-30-4) SINGAPORE TELECOMMUNICATIONS LTD ADR REPRESENTS @ .020 DEPOSITORY FEE AS OF 01/21/14 (ID: 82929R-30-4) ($3,424.68) 1,765.000 1,765.000 0.534 1,070.000 1,070.000 1,015.000 EFTA01567327 700.000 0.616 0.806 862.01 (258.60) 625.34 (14.00) (3,579.54) (1,967.98) 942.14 (35.30) Quantity Cost Per Unit Amount Amount 1.25 Account.IIIIIIII.age 11 of 14 Consolidated Statement Page 48 EFTA01567328 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 TRADE ACTIVITY Note: Trade Date Settle Date 1/10 1/15 1/13 1/16 1/14 1/17 1/14 1/17 1/22 1/27 1/23 1/28 1/23 1/28 1/24 1/29 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost Sale High Cost DEUTSCHE POST AG SPONS ADR @ 35.1079 10,883.45 BROKERAGE 9.30 TAX &/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 25157Y-20-2) DEUTSCHE POST AG SPONS ADR @ 35.5508 12,265.03 BROKERAGE 13.80 TAX &/OR SEC .22 FIDELITY CAPITAL MARKETS (ID: 25157Y-20-2) BAYER A G SPONS ADR @ 131.9228 10,553.82 BROKERAGE 2.40 TAX &/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 072730-30-2) EFTA01567329 SMITHS GROUP PLC SPONSORED ADR @ 24.4569 2,690.26 BROKERAGE 3.30 TAX &/OR SEC .05 FIDELITY CAPITAL MARKETS (ID: 83238P-20-3) BAE SYSTEMS PLC SPONS ADR @ 28.9174 10,844.03 BROKERAGE 11.25 TAX &/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 05523R-10-7) ALSTOM ADR @ 3.0646 10,358.35 BROKERAGE 33.80 TAX &/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 021244-20-7) BAE SYSTEMS PLC SPONS ADR @ 29.0186 10,446.70 BROKERAGE 10.80 TAX &/OR SEC .19 FIDELITY CAPITAL MARKETS (ID: 05523R-10-7) ALSTOM ADR @ 2.9547 9,144.80 BROKERAGE 30.95 TAX &/OR SEC .16 FIDELITY CAPITAL MARKETS (ID: 021244-20-7) (3,095.000) 2.945 9,113.69 (11,360.18) (2,246.49) S (360.000) 28.988 10,435.71 (8,167.90) 2,267.81 S (3,380.000) 3.055 10,324.36 (12,444.81) (2,120.45) S (375.000) 28.887 10,832.59 (8,949.48) 1,883.11 S (110.000) 24.426 2,686.91 (2,279.26) 407.65 S (80.000) 131.89 10,551.23 (8,405.57) 2,145.66 S (345.000) 35.51 12,251.01 (8,245.50) 4,005.51 S Quantity EFTA01567330 (310.000) Per Unit Amount 35.077 Proceeds 10,873.96 Tax Cost (7,493.57) Realized Gain/Loss 3,380. AccounM Page 12 of 14 Consolidated Statement Page 49 EFTA01567331 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Trade Date Settle Date 1/27 1/30 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost ALSTOM ADR @ 2.874 2,069.28 BROKERAGE 7.20 TAX &/OR SEC .04 FIDELITY CAPITAL MARKETS (ID: 021244-20-7) Total Settled Sales/Maturities/Redemptions $79,131.50 ($69,981.18) $9,150.32 S Quantity (720.000) Per Unit Amount 2.864 Proceeds 2,062.04 Tax Cost (2,634.91) Realized Gain/Loss (572.87) S Trade Date Settle Date Type Description Settled Securities Purchased 1/9 Purchase 1/14 1/13 1/16 1/21 1/24 1/22 1/28 1/23 1/30 1/24 1/30 Purchase Purchase Purchase EFTA01567332 Purchase Purchase BNP PARIBAS ADR @ 39.8941 28,324.81 BROKERAGE 21.30 TAX &/OR SEC 56.65 FIDELITY CAPITAL MARKETS (ID: 05565A-20-2) BNP PARIBAS ADR @ 39.6262 19,218.71 BROKERAGE 14.55 TAX &/OR SEC 38.44 FIDELITY CAPITAL MARKETS (ID: 05565A-20-2) ORKLA A S A SPONS A/D/R @ 8.0429 5,710.46 BROKERAGE 7.10 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 8.1802 1,799.64 BROKERAGE 2.20 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 8.2723 2,605.77 BROKERAGE 3.15 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 8.1373 1,505.40 BROKERAGE 1.85 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) Account V49920008 Page 13 of 14 Consolidated Statement Page 50 185.000 8.147 (1,507.25) 315.000 8.282 (2,608.92) 220.000 8.19 (1,801.84) 710.000 8.053 (5,717.56) 485.000 39.735 (19,271.70) Quantity 710.000 Per Unit Amount 40.004 Market Cost (28,402.76) EFTA01567333 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 1/1/14 to 1/31/14 Trade Date Settle Date Type Settled Securities Purchased 1/27 Purchase 1/30 1/28 1/31 Purchase Total Settled Securities Purchased Trade Date Est. Settle Date Type Pending Securities Purchased 1/29 Purchase 2/3 1/30 2/4 1/31 2/5 Total Pending Securities Purchased ($7,088.22) Purchase Purchase Description ORKLA A S A SPONS A/D/R (ID: 686331-10-9) ORKLA A S A SPONS A/D/R (ID: 686331-10-9) ORKLA A S A SPONS A/D/R (ID: 686331-10-9) Quantity 390.000 245.000 260.000 Per Unit Amount 7.981 7.839 7.868 Description ORKLA A S A SPONS A/D/R @ 8.0091 1,081.23 BROKERAGE 1.35 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 8.0356 2,129.43 BROKERAGE 2.65 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ($62,524.69) 265.000 8.046 (2,132.08) EFTA01567334 Quantity 135.000 Per Unit Amount 8.019 Market Cost (1,082.58) Market Cost (3,116.53) (1,923.23) (2,048.4 Account Page 14 of 14 Consolidated Statement Page 51 EFTA01567335 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP DYS 270 New York, NY 10017-2014 ACC For the Period 1/1/14 to 1/31/14 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 8 11 Accoun Page 1 of 14 Consolidated Statement Page 52 EFTA01567336 GHISLAINE MAXWELL - TAP DYS Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 138,771.17 231,638.51 665,847.92 $1,036,257.60 259.32 $1,036,516.92 Ending Market Value 154,064.14 211,125.49 671,012.32 $1,036,201.95 159.30 $1,036,361.25 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 1,036,257.60 (1,872.22) ($1,872.22) 2,563.29 (746.72) $1,036,201.95 159.30 $1,036,361.25 Change In Value 15,292.97 (20,513.02) 5,164.40 ($55.65) (100.02) EFTA01567337 ($155.67) Year-to-Date Value 1,036,257.60 (1,872.22) ($1,872.22) 2,563.29 (746.72) $1,036,201.95 159.30 $1,036,361.25 Alternative Assets Estimated 3,222.81 5,780.48 26,698.65 Current Annual Income Allocation 15% 21% 64% $35,701.94 100% Equity Cash & Fixed Income Asset Allocation ACCT For the Period 1/1/14 to 1/31/14 Account Page 2 of 14 Consolidated Statement Page 53 EFTA01567338 GHISLAINE MAXWELL - TAP DYS Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 2,562.33 0.96 $2,563.29 Year-to-Date Value 2,562.33 0.96 $2,563.29 Unrealized Gain/Loss To-Date Value $8,364.12 ST Realized Gain/Loss Realized Gain/Loss Current Period Value 400.50 $400.50 Year-to-Date Value 400.50 $400.50 ACCT. V49935006 For the Period 1/1/14 to 1/31/14 Cost Summary Equity Cash & Fixed Income Total 675,686.82 Cost 147,147.00 $822,833.82 Account Page 3 of 14 Consolidated Statement Page 54 EFTA01567339 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 74,242.48 23,396.31 41,132.38 $138,771.17 Ending Market Value 92,346.50 22,722.35 38,995.29 $154,064.14 Current Period Value 154,064.14 147,147.00 6,917.14 3,222.81 2.09% Asia ex-Japan Equity Change In Value 18,104.02 (673.96) (2,137.09) $15,292.97 Current Allocation 9% 2% 4% 15% European Large Cap Equity US Large Cap Equity Asset Categories ACCT. V49935006 For the Period 1/1/14 to 1/31/14 Equity as a percentage of your portfolio - 15 % EFTA01567340 Accouni Page 4 of 14 Consolidated Statement Page 55 EFTA01567341 GHIS - TAP DYS For the Period 1/1/14 to 1/31/14 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 $92,346.50 $87,545.00 $4,801.50 $1,502.07 1.63% 16.93 2,958.635 50,089.69 46,294.00 3,795.69 760.36 1.52% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 18.06 2,339.801 42,256.81 41,251.00 1,005.81 741.71 1.76% European Large Cap Equity JPM INTREPID EUROPEAN FD - INSTL 25.96 FUND 1300 4812A0-68-0 JFEI X Asia ex-Japan Equity MATTHEWS ASIA DIVIDEND-INS 577130-75-0 MIPI X 875.283 22,722.35 20,316.00 EFTA01567342 2,406.35 74.39 0.33% 14.78 2,638.382 38,995.29 39,286.00 (290.71) 1,646.35 4.22% Account Page 5 of 14 Consolidated Statement Page 56 EFTA01567343 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 Alternative Assets Summary Beginning Asset Categories Hedge Funds Real Estate & Infrastructure Total Value Estimated Value 174,732.12 56,906.39 $231,638.51 Ending Estimated Value 174,652.72 36,472.77 $211,125.49 Change In Value (79.40) (20,433.62) ($20,513.02) Current Allocation 17% 4% 21% Real Estate & Infrastructure Hedge Funds Asset Categories Alternative Assets Detail Alternative Assets as a percentage of your portfolio 21 % Price Hedge Funds COLUMBIA FD SER TRT - COLUMBIA CONVERTIBLE SECURITIES FD - Z 19765H-72-7 NCIA X EATON VANCE FLOATING-RATE ADVANTAGE I 277923-63-7 EIFA X Account Page 6 of 14 Consolidated Statement Page 57 11.22 7,524.150 84,420.96 84,120.00 18.47 1,147.177 21,188.36 20,523.00 Quantity EFTA01567344 Estimated Value Cost EFTA01567345 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 Price Hedge Funds GATEWAY FUND-Y HSBC FDS Total Hedge Funds 28.53 367829-88-4 GTEY X 9.84 TOTAL RETURN I 40428X-15-6 HTRI X $174,652.72 $174,388.01 3,858.567 37,968.30 39,704.65 1,089.208 31,075.10 30,040.36 Quantity Estimated Value Cost Quantity/Original Commitment Amount Real Estate & Infrastructure TORTOISE MLP & PIPELINE-INS 56166Y-40-4 TORI X 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 EFTA01567346 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). Account V49935006 Page 7 of 14 Consolidated Statement Page 58 Cost/Net Capital Called Since Inception Net Distributions Since Inception Estimated Value Est. Annual Inc. Accrued Div. Yield 2,296.77 30,616.00 36,472.77 EFTA01567347 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 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 36,993.11 628,854.81 $665,847.92 Ending Market Value 47,214.85 623,797.47 $671,012.32 Current Period Value 671,012.32 675,686.82 (4,674.50) 26,698.65 159.30 3.97% Cash & Fixed Income as a percentage of your portfolio 64 % SUMMARY BY TYPE Market Value 671,012.32 % 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 International Bonds EFTA01567348 Mutual Funds Other Total Value Market Value 47,214.85 31,342.68 533,808.52 58,646.27 $671,012.32 % of Bond Portfolio 7% 4% 81% 8% 100% US Fixed Income Change In Value 10,221.74 (5,057.34) $5,164.40 Current Allocation 5% 59% 64% Cash Asset Categories Account Page 8 of 14 Consolidated Statement Page 59 EFTA01567349 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 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 47,214.85 47,214.85 47,214.85 14.16 1.19 US Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST AVENUE MUT FDS TR 411511-55-3 11.07 411512-73-4 11.46 CRED STRA INST 05358F-30-1 DOUBLELINE TOTAL RET BD-I 3PM STRAT INCOME OPPORT FD SEL 258620-10-3 11.91 FUND 3844 4812A4-35-1 3PM MULTI SECTOR INCOME FD SEL FUND 2130 48121A-29-0 10.26 4,784.86 49,092.70 49,092.71 (0.01) 3,015.90 35,919.37 36,040.00 (120.63) 889.69 24.13 1,153.15 133.98 2.48% EFTA01567350 2.35% 10.97 12,498.16 137,104.76 142,229.00 (5,124.24) 6,936.47 5.06% 2,734.96 31,342.68 30,896.00 446.68 894.33 2.85% 2,833.31 31,364.79 29,272.00 2,092.79 589.32 1.88% 10.88 2,660.66 28,947.95 29,905.78 (957.83) 1,665.57 5.75% 0.03% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 9 of 14 Consolidated Statement Page 60 EFTA01567351 GHISLAINE MAXWELL - TAP DYS ACCT.0 For the Period 1/1/14 to 1/31/14 Price US Fixed Income METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 RIDGEWORTH SEIX FLOATING-I TRP INST FLOATING RATE-F 76628T-67-8 10.29 77958B-10-5 COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 19248X-30-7 BLACKROCK HIGH YIELD BOND Total US Fixed Income 091929-63-8 $623,797.47 $628,471.97 ($4,674.50) $26,684.49 $158.11 4.28% 8.23 7,292.31 60,015.73 59,201.48 814.25 3,638.86 6.06% 13.05 4,493.97 58,646.27 60,624.00 (1,977.73) 3,828.85 6.53% 5,394.06 55,504.88 55,397.00 107.88 2,276.29 4.10% 9.08 6,502.66 59,044.11 58,784.00 260.11 2,438.49 4.13% EFTA01567352 10.68 7,192.34 76,814.23 77,030.00 (215.77) 2,373.47 3.09% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account l Page 10 of 14 Consolidated Statement Page 61 EFTA01567353 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 31,005.67 (21,475.00) $9,530.67 $47,214.85 * 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 31,005.67 (21,475.00) $9,530.67 -Current Period Value 36,993.11 2,563.29 $2,563.29 (1,872.22) ($1,872.22) Year-To-Date Value* -2,563.29 $2,563.29 (1,872.22) ($1,872.22) Account V49935006 Page 11 of 14 Consolidated Statement Page 62 EFTA01567354 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/2 1/3 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 12/01/13 - 12/31/13 @ .03% RATE ON AVG COLLECTED BALANCE OF $38,012.68 AS OF 01/01/14 3PM INTREPID EUROPEAN FD - INSTL FUND 1300 @ 0.00533 PER SHARE (ID: 4812A0-68-0) 3PM STRAT INCOME OPPORT FD - SEL FUND 3844 @ 0.027 PER SHARE (ID: 4812A4-35-1) 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 @ 0.036 PER SHARE (ID: 48121A-29-0) BLACKROCK HIGH YIELD BOND 12/31/13 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 12/31/13 (ID: 091929-63-8) EATON VANCE FLOATING-RATE ADVANTAGE I 12/31/13 INCOME DIVIDEND @ 0.053 PER SHARE AS OF 12/31/13 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 01/02/14 INCOME DIVIDEND @ 0.007 PER SHARE (ID: 40428X-15-6) METROPOLITAN WEST FDS TOTAL RET CL I 12/31/13 INCOME DIVIDEND @ 0.004 PER SHARE AS OF 12/31/13 (ID: 592905-50-9) NUVEEN GLOBAL INFRASTRUCT-I 12/31/13 INCOME DIVIDEND @ 0.190 PER SHARE AS OF 12/31/13 (ID: 670690-51-0) DOUBLELINE TOTAL RET BD-I 12/31/13 INCOME EFTA01567355 DIVIDEND @ 0.054 PER SHARE AS OF 12/31/13 (ID: 258620-10-3) Account V49935006 Page 12 of 14 Consolidated Statement Page 63 12,498.155 0.054 675.14 2,025.302 0.19 384.81 3,858.567 7,192.344 0.007 0.016 28.82 114.98 7,524.150 0.053 400.59 875.283 3,015.900 4,784.864 7,292.312 0.005 0.027 0.036 0.042 4.67 81.43 172.26 303.05 Quantity Cost Per Unit Amount Amount 0.96 EFTA01567356 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 1/1/14 to 1/31/14 INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/3 1/3 1/21 Div Domest Div Domest Description RIDGEWORTH SEIX FLOATING-I 01/02/14 INCOME DIVIDEND @ 0.031 PER SHARE AS OF 01/02/14 (ID: 76628T-67-8) TRP INST FLOATING RATE-F 12/31/13 INCOME DIVIDEND @ 0.035 PER SHARE AS OF 12/31/13 (ID: 779586-10-5) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 10-01-2013 TO 12-31-2013 Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date 1/6 1/7 (1,872.22) $691.07 5,394.060 0.035 191.17 Quantity Cost Per Unit Amount 6,502.655 0.032 Amount 205.41 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 1/14 1/17 1/15 1/21 1/16 1/22 High Cost EFTA01567357 Sale High Cost Sale High Cost Sale High Cost HARBOR HIGH YIELD BOND-INST (ID: 411511-55-3) NUVEEN GLOBAL INFRASTRUCT-I (ID: 670690-51-0) NUVEEN GLOBAL INFRASTRUCT-I (ID: 670690-51-0) NUVEEN GLOBAL INFRASTRUCT-I (ID: 670690-51-0) Quantity (935.424) (476.505) (506.990) (506.111) Per Unit Amount 10.84 10.30 10.30 10.31 Proceeds 10,140.00 4,908.00 5,222.00 5,218.00 Tax Cost (10,514.17) (4,726.93) (5,029.34) (5,020.62) Realized Gain/Loss (374.17) S 181.07 S 192.66 S 197.38 Account IIII. Page 13 of 14 Consolidated Statement Page 64 EFTA01567358 GHISLAINE MAXWELL - TAP DYS ACC For the Period 1/1/14 to 1/31/14 Trade Date Settle Date 1/17 1/23 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Total Settled Sales/Maturities/Redemptions $31,005.67 ($30,605.17) $400.50 S NUVEEN GLOBAL INFRASTRUCT-I (ID: 670690-51-0) Quantity (535.696) Per Unit Amount 10.30 Proceeds 5,517.67 Tax Cost (5,314.11) Realized Gain/Loss 203.56 S Trade Date Settle Date Type Description Settled Securities Purchased 1/14 Purchase 1/17 1/15 1/21 1/16 1/22 1/17 1/23 Total Settled Securities Purchased Purchase Purchase Purchase CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: 52469H-59-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: 52469H-59-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I EFTA01567359 (ID: 52469H-59-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I (ID: 52469H-59-4) Quantity 296.210 283.181 282.731 298.430 Per Unit Amount 18.47 18.55 18.53 18.47 Market Cost (5,471.00) (5,253.00) (5,239.00) (5,512.00) ($21,475,LIU...... Account IIIIIIIIIIPage 14 of 14 Consolidated Statement Page 65 EFTA01567360 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP ARFI 270 P , New York, NY 10017-2014 ACCT. For the Period 1/1/14 to 1/31/14 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 I Page 1 of 10 Consolidated Statement Page 66 EFTA01567361 GHISLAINE MAXWELL - TAP ARFI Account Summary Asset Allocation Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 402,760.32 600,025.84 $1,002,786.16 691.00 $1,003,477.16 Ending Market Value 452,970.32 551,473.04 $1,004,443.36 355.66 $1,004,799.02 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 1,002,786.16 (1,194.27) ($1,194.27) 2,428.61 422.86 $1,004,443.36 355.66 $1,004,799.02 Change In Value 50,210.00 (48,552.80) $1,657.20 (335.34) $1,321.86 Year-to-Date Value 1,002,786.16 EFTA01567362 (1,194.27) ($1,194.27) 2,428.61 422.86 $1,004,443.36 355.66 $1,004,799.02 Estimated 9,825.07 12,847.32 Current Annual Income Allocation 45% 55% $22,672.39 100% Cash & Fixed Income Asset Allocation ACCT. For the Period 1/1/14 to 1/31/14 Alternative Assets Account Page 2 of 10 Consolidated Statement Page 67 EFTA01567363 GHISLAINE MAXWELL - TAP ARFI Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 2,427.37 1.24 $2,428.61 Year-to-Date Value 2,427.37 1.24 $2,428.61 Unrealized Gain/Loss To-Date Value ($7,966.75) ST Realized Gain/Loss Realized Gain/Loss Current Period Value (1,968.26) ($1,968.26) Year-to-Date Value (1,968.26) ($1,968.26) ACCT. V49938000 For the Period 1/1/14 to 1/31/14 Cost Summary Cash & Fixed Income 550,379.49 Cost Total $550,37 Account Page 3 of 10 Consolidated Statement Page 68 EFTA01567364 GHISLAINE MAXWELL - TAP ARFI Alternative Assets Summary Beginning Asset Categories Hedge Funds Estimated Value 402,760.32 Alternative Assets Detail Price Hedge Funds GOLDMAN SACHS TR STRG INCM INST 38145C-64-6 GSZI X HSBC FDS TOTAL RETURN I 40428X-15-6 HTRI X PIMCO UNCONSTRAINED BOND-P PRUDENTIAL INVT PORTFOLIOS 9 72201M-45-3 PUCP X 9.79 PRU ABRTN FD Z 74441J-82-9 PADZ X Total Hedge Funds $452,970.32 $462,030.62 9,610.855 94,090.27 96,036.62 11.15 14,308.333 159,537.91 164,832.00 9.84 5,780.066 56,875.85 59,171.00 10.58 13,465.623 142,466.29 141,991.00 Quantity Estimated Value Cost ACCT For the Period 1/1/14 to 1/31/14 Ending Estimated Value 452,970.32 Change In Value EFTA01567365 50,210.00 Current Allocation 45% Account Page 4 of 10 Consolidated Statement Page 69 EFTA01567366 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 47,890.81 552,135.03 $600,Q ACCT. For the Period 1/1/14 to 1/31/14 Ending Market Value 48,846.15 502,626.89 $551,473.04 Current Period Value 551,473.04 550,379.49 1,093.55 12,847.32 355.66 2.32% SUMMARY BY TYPE Market Value 551,473.04 % 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 Mutual Funds EFTA01567367 Total Value Market Value 48,846.15 502,626.89 $551,473.04 % of Bond Portfolio 8% 92% 100% US Fixed Income Change In Value 955.34 (49,508.14) ($48,552.80) Current Allocation 5% 50% 55% Cash Asset Categories Cash & Fixed Income as a percentage of your portfolio 55 % Account iPage 5 of 10 Consolidated Statement Page 70 EFTA01567368 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 1/1/14 to 1/31/14 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 48,846.15 48,846.15 48,846.15 14.65 1.28 US Fixed Income DOUBLELINE TOTAL RET BD-I EATON VANCE FLOATING RATE-I 3PM STRAT INCOME OPPORT FD - SEL 258620-10-3 9.20 277911-49-1 11.91 FUND 3844 4812A4-35-1 3PM MULTI SECTOR INCOME FD SEL FUND 2130 48121A-29-0 RBC FDS TR BLUBAY ABRTR I 74926P-34-0 Total US Fixed Income $502,626.89 $501,533.34 $1,093.55 $12,832.67 $354.38 2.55% 10.26 10.39 9,651.54 14,793.79 99,024.82 153,707.45 99,024.83 150,434.00 (0.01) 3,273.45 EFTA01567369 10,517.98 125,269.08 125,689.80 (420.72) 3,102.80 84.14 2,326.02 270.24 1,937.98 2.48% 2.35% 1.26% 8,191.63 75,363.00 75,281.00 82.00 2,973.56 3.95% 10.97 4,490.66 49,262.54 51,103.71 (1,841.17) 2,492.31 5.06% 0.03% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 6 of 10 Consolidated Statement Page 71 EFTA01567370 GHISLAINE MAXWELL - TAP ARFI ACC For the Period 1/1/14 to 1/31/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Fees & Commissions TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 76,002.00 (76,281.00) ($279.00) $48,846.15 * 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 76,002.00 (76,281.00) ($279.00) -Current Period Value 47,890.81 2,428.61 $2,428.61 (1,194.27) ($1,194.27) Year-To-Date Value* -2,428.61 $2,428.61 (1,194.27) ($1,194.27) Account Page 7 of 10 Consolidated Statement Page 72 EFTA01567371 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 1/1/14 to 1/31/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/2 1/2 1/2 1/2 1/2 1/2 1/3 1/3 1/3 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 12/01/13 - 12/31/13 @ .03% RATE ON AVG COLLECTED BALANCE OF $46,902.70 AS OF 01/01/14 3PM STRAT INCOME OPPORT FD - SEL FUND 3844 @ 0.027 PER SHARE (ID: 4812A4-35-1) 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 @ 0.036 PER SHARE (ID: 48121A-29-0) EATON VANCE FLOATING RATE-I 12/31/13 INCOME DIVIDEND @ 0.037 PER SHARE AS OF 12/31/13 (ID: 277911-49-1) HSBC FDS TOTAL RETURN I 01/02/14 INCOME DIVIDEND @ 0.007 PER SHARE (ID: 40428X-15-6) PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z 12/31/13 INCOME DIVIDEND @ 0.027 PER SHARE AS OF 12/31/13 (ID: 744413-82-9) DOUBLELINE TOTAL RET BD-I 12/31/13 INCOME DIVIDEND @ 0.054 PER SHARE AS OF 12/31/13 (ID: 258620-10-3) GOLDMAN SACHS TR STRG INCM INST 12/31/13 INCOME DIVIDEND @ 0.029 PER SHARE AS OF 12/31/13 (ID: 38145C-64-6) PIMCO UNCONSTRAINED BOND-P 12/31/13 INCOME DIVIDEND @ 0.008 PER SHARE AS OF 12/31/13 (ID: 72201M-45-3) 14,308.333 0.008 EFTA01567372 114.40 8,675.454 0.032 273.92 9,074.145 0.054 490.18 5,780.066 9,610.855 0.007 0.027 43.17 263.72 12,677.824 9,651.542 5,463.943 0.027 0.036 0.037 342.30 347.46 200.89 Quantity Cost Per Unit Amount Amount 1.24 Account Page 8 of 10 Consolidated Statement Page 73 EFTA01567373 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 1/1/14 to 1/31/14 INFLOWS & OUTFLOWS Type Settle Date Selection Method 1/3 1/21 Div Domest Description RBC FDS TR BLUBAY ABRTR I 12/31/13 INCOME DIVIDEND @ 0.024 PER SHARE AS OF 12/31/13 (ID: 74926P-34-0) Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 10-01-2013 TO 12-31-2013 Total Inflows & Outflows TRADE ACTIVITY Note: Trade Date Settle Date 1/21 1/22 1/21 1/22 (1,194.27) $1,234.34 Quantity Cost Per Unit Amount 14,793.787 0.024 Amount 351.33 S indicates Short Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost Total Settled Sales/Maturities/Redemptions $76,002.00 ($77,970.26) ($1,968.26) S JPM STRAT INCOME OPPORT FD - SEL FUND 3844 JP MORGAN CHASE BANK AS SHAREHOLDER SERVICING AGENT @ 11.93 (ID: 4812A4-35-1) DOUBLELINE TOTAL RET BD-I (ID: 258620-10-3) (4,583.485) 10.96 EFTA01567374 50,235.00 (52,160.06) (1,925.06) S Quantity (2,159.849) Per Unit Amount 11.93 Proceeds 25,767.00 Tax Cost (25,810.20) Realized Gain/Loss (43.20) S Account Page 9 of 10 Consolidated Statement Page 74 EFTA01567375 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 1/1/14 to 1/31/14 Trade Date Settle Date Type Settled Securities Purchased 1/21 Purchase 1/22 1/21 1/22 Total Settled Securities Purchased Purchase Description EATON VANCE FLOATING RATE-I (ID: 277911-49-1) GOLDMAN SACHS TR STRG INCM INST (ID: 38145C-64-6) Quantity 2,727.687 4,790.169 Per Unit Amount 9.21 10.68 Market Cost (25,122.00) (51,159.00) ($76,281.00) Account Page 10 of 10 Consolidated Statement Page 75 EFTA01567376 For the Period 1/1/14 to 1/31/14 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 EFTA01567377 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 EFTA01567378 For the Period 1/1/14 to 1/31/14 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, EFTA01567379 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 EFTA01567380 For the Period 1/1/14 to 1/31/14 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. EFTA01567381 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 EFTA01567382 For the Period 1/1/14 to 1/31/14 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 EFTA01567383 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 EFTA01567384 For the Period 1/1/14 to 1/31/14 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 EFTA01567385 EFTA01567386