EFTA Document EFTA01567413

GHISLAINE MAXWELL MIAMI FL 33139-1043 EFTA01567413 EFTA01567414 For the Period 2/1/14 to 2/28/14 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 i Beginning 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 Ending Net Market Value 5,275,564.06 0.00 150,094.44 126,444.68 19,270.99 $5,571,374.17 This account summary is provided for informational purposes and includes assets at different entities. (1) Assets held at JPMorgan Chase Bank, N.A., member Federal Deposit Insurance Corporation ("FDIC"), except for exchangelisted options, which are held at 3PMorgan Clearing Corporation ("JPMCC"). The Asset Account Statement reflects brokerage transactions executed through J.P. Morgan Securities LLC ("JPMS"), see "Portfolio Activity Detail". Equity securities, fixed income securities, and listed options transactions are generally cleared through JPMCC, a wholly owned subsidiary of 3PMS. Please see "Additional Information About Your Accounts" at the end of the Asset Account Statement. (2) Assets held in Margin Account at JPMCC, member Financial Regulatory Authority ("FINRA") and Securities Insurance Protection Corporation ("SIPC"). The Margin Account Statement reflects brokerage transactions executed by JPMS, see "Portfolio Activity Detail". Such transactions are cleared and carried through JPMCC. Please see disclosures located at the end of this statement package for important information relating to each 3.P.Morgan account(s). 1 EFTA01567415 Change In Value 29,206.36 (430.00) (1,701,460.08) (909,916.57) (985,528.03) ($3,568,128.32) Start on Page 4 32 35 50 65 0000039029.00.0.9E.00001.MAXWE04.20140304 Consolidated Statement Page 1 EFTA01567416 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567417 For the Period 2/1/14 to 2/28/14 Consolidated Summary INVESTMENT ACCOUNTS Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning Market Value 3,119,029.47 723,324.88 5,120,049.43 162,777.00 $9,125,180.78 14,321.71 $9,139,502.49 Ending Market Value 1,305,733.71 63,067.77 4,014,098.76 167,376.76 $5,550,277.00 21,097.17 $5,571,374.17 Change In Value (1,813,295.76) (660,257.11) (1,105,950.67) 4,599.76 ($3,574,903.78) 6,775.46 ($3,568,128.32) Estimated 55,929.12 21,094.19 $77,023.31 Current Annual Income Allocation 24% 1% 72% 3% 100% Alternative Assets EFTA01567418 Cash & Fixed Income Equity Asset Allocation Other 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 9,125,180.78 (3,754,496.50) 35,629.13 143,963.59 $5,550,277.00 21,097.17 $5,571,374.17 Year-to-Date Value 9,254,763.38 (3,763,418.41) 52,160.66 6,771.37 $5,550,277.00 21,097.17 $5,571,374.17 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 EFTA01567419 For the Period 2/1/14 to 2/28/14 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 Number Account Number i 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 10,540.96 30,467.67 4,840.70 4,118.67 $49,968.00 Net Contributions/ Withdrawals 430.01 (430.00) (1,842,875.39) (926,993.87) (993,549.16) EFTA01567420 ($3,763,418.41) Tax-Exempt Income 2,192.66 9,772.82 400.50 $2,192.66 'Unrealized Gain/Loss represents data from the time of account inception to the current statement period. (1,968.26) $8,205.06 1,557.88 (43.12) $1,514.76 Other Income & Receipts 30,467.67 4,840.70 4,118.67 $52,160.66 Realized Gain/Loss Short-term Long-term (14,229.93) 12,340.25 5,915.32 $6,771.37 Income & Distributions 12,733.62 Change in Investment Value 2,745.73 Ending Market Value with Accruals 5,275,564.06 0.00 150,094.44 126,444.68 19,270.99 $5,571,374.17 Unrealized Gain/Loss' 102,190.86 4,841.98 5,885.86 $112,918.70 CONTINUED Consolidated Statement Page 3 EFTA01567421 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL , New York, NY 10017-2014 ACCT. For the Period 2/1/14 to 2/28/14 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). Table of Contents Account Summary Holdings Equity Alternative Assets Cash & Fixed Income Other Assets Portfolio Activity Page 2 5 8 9 14 16 Account Page 1 of 28 Consolidated Statement Page 4 EFTA01567422 GHISLAINE MAXWELL Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Other Market Value Accruals Market Value with Accruals Beginning 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 Ending Market Value 1,116,133.63 63,067.77 3,920,455.07 167,376.76 $5,267,033.23 8,530.83 $5,275,564.06 Current Portfolio Activity Beginning Market Value Contributions Withdrawals & Fees Securities Transferred In Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Accruals Market Value with Accruals Period Value 5,236,166.55 430.00 (139.13) 927,739.66 (927,600.52) $430.01 3,624.73 26,811.94 $5,267,033.23 EFTA01567423 8,530.83 $5,275,564.06 Change In Value (892.78) 3,838.70 23,321.00 4,599.76 $30,866.68 (1,660.32) $29,206.36 Year-to-Date Value 5,251,123.87 430.00 (368.58) 2,164,805.86 (2,164,437.27) $430.01 12,733.62 2,745.73 $5,267,033.23 8,530.83 $5,275,564.06 Estimated 50,062.72 18,817.90 $68,880.62 Current Annual Income Allocation 22% 1% 74% 3% 100% Cash & Fixed Income Equity Other Alternative Assets Asset Allocation ACCT. For the Period 2/1/14 to 2/28/14 Account Page 2 of 28 Consolidated Statement Page 5 EFTA01567424 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 22.58 2,102.13 $2,124.71 2,500.00 (999.98) $1,500.02 Year-to-Date Value 1,488.05 729.33 8,323.58 $10,540.96 3,750.00 (1,557.34) $2,192.66 Unrealized Gain/Loss ACCT. For the Period 2/1/14 to 2/28/14 To-Date Value $102,190.86 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 TX Current Period Value 1,500.02 Year-to-Date Value 692.64 EFTA01567425 1,500.02 Tax-Exempt Income Summary by State* Tax-Exempt Income Current Period Value $1,500.02 Year-to-Date Value $2,192.66 Account Page 3 of 28 Consolidated Statement Page 6 EFTA01567426 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Account Summary Cost Summary Equity Cash & Fixed Income Other Total CONTINUED Cost 1,034,682.24 3,893,728.70 92,027.29 $5,020,438.23 Account Page 4 of 28 Consolidated Statement Page 7 EFTA01567427 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 495,228.99 15,060.00 159.92 440,937.00 165,640.50 $1,117,026.41 Ending Market Value 489,081.56 14,265.00 172.57 445,348.00 167,266.50 $1,116,133 63 Current Period Value 1,116,133.63 1,034,682.24 81,451.39 50,062.72 4,028.00 4.47% Preferred Stocks Equity as a percentage of your portfolio - 22 % Change In Value (6,147.43) (795.00) 12.65 4,411.00 1,626.00 ($892.78) Current EFTA01567428 Allocation 9% 1% 1% 8% 3% 22% US Large Cap Equity US Small/Mid Cap Equity Non-US Equity Concentrated & Other Equity Asset Cate ories ACCT. For the Period 2/1/14 to 2/28/14 Account Page 5 of 28 Consolidated Statement Page 8 EFTA01567429 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 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 48.63 172967-42-4 C 36.20 37045V-10-0 GM 93.00 806857-10-8 SLB 186.29 78462F-10-3 SPY 54.91 90184L-10-2 TWTR Total US Large Cap Equity $489,081.56 $435,852.56 $53,229.00 $6,985.22 $45.20 US Small/Mid Cap Equity GERON CORP 374163-10-3 GERN 1.43% 2,000.000 109,820.00 90,320.00 19,500.00 1,495.000 278,503.55 250,407.85 28,095.70 113.000 10,509.00 9,524.04 984.96 180.80 45.20 5,009.74 1.72% EFTA01567430 1.80% 1,373.000 49,702.60 50,000.00 (297.40) 1,647.60 3.31% 358.000 17,409.54 14,048.52 3,361.02 14.32 0.08% 16.53 944.000 15,604.32 10,148.85 5,455.47 37.76 0.24% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 79.29 95.000 7,532.55 11,403.30 (3,870.75) 95.00 1.26% 4.76 3,000.000 14,265.00 18,129.32 (3,864.32) Account Page 6 of 28 Consolidated Statement Page 9 EFTA01567431 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 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 25.82 2,500.000 64,550.00 $445,348.00 62,500.00 $422,578.96 2,050.00 $22,769.04 4,187.50 $31,227.50 6.49% 7.01% 25.19 4,200.000 105,798.00 98,778.96 7,019.04 7,350.00 6.95% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 57.52 3.000 172.57 212.23 (39.66) EFTA01567432 27.50 10,000.000 275,000.00 261,300.00 13,700.00 19,690.00 7.16% Concentrated & Other Equity JPMORGAN CHASE & CO 111.51 VAR RT PFD STK 04/30/2049 DTD 04/23/2008 46625H-HA-1 BBB /BA1 150,000.000 167,266.50 157,909.17 9,357.33 11,850.00 3,982.80 7.01% Account Page 7 of 28 Consolidated Statement Page 10 EFTA01567433 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Alternative Assets Summary Beginning Asset Categories Hard Assets Estimated Value 59,229.07 Alternative Assets Detail Price Hard Assets ETFS METAL SECURITIES LTD ISIN JEO0B1VS3770 SEDOL BlVS377 131994-91-5 SPDR GOLD TRUST Total Hard Assets 78463V-10-7 GLD $63,067.77 $76,999.78 127.62 190.000 24,247.80 31,931.40 128.97 301.000 38,819.97 45,068.38 Quantity Estimated Value Cost Est. Annual Income Accrued Income Ending Estimated Value 63,067.77 Change In Value 3,838.70 Current Allocation 1% Account Page 8 of 28 Consolidated Statement Page 11 EFTA01567434 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 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 2,798,694.16 1,605.21 302,857.94 629,761.77 164,214.99 $3,897,134.07 Ending Market Value 2,803,563.05 315,330.62 0.00 633,584.40 167,977.00 $3,920,455.07 Current Period Value 3,920,455.07 3,893,728.70 26,726.37 18,817.90 4,502.83 0.33% Change In Value 4,868.89 313,725.41 (302,857.94) 3,822.63 3,762.01 $23,321.00 Current Allocation EFTA01567435 53% 6% 12% 3% 74% Non-US Fixed Income Non-USD Cash Cash US Fixed Income Asset Categories Cash & Fixed Income as a percentage of your portfolio 74 % Account Page 9 of 28 Consolidated Statement Page 12 EFTA01567436 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1-5 years, 10+ years, Total Value 1 SUMMARY BY TYPE Market Value 3,392,006.07 311,290.00 217,159.00 $3,920,455.07 % 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 2,803,562.05 1.00 2,803,562.05 1.00 $2,803,563.05 2,803,562.05 1.00 $2,803,563.05 $0.00 $280.35 $21.28 0.01% EFTA01567437 280.35 21.28 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 2,803,563.05 315,330.62 311,290.00 217,159.00 250,808.93 22,303.47 $3,920,455.07 % of Bond Portfolio 73% 8% 7% 5% 6% 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 28 Consolidated Statement Page 13 EFTA01567438 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Price Non-USD Cash CANADIAN DOLLAR POUND STERLING NORWEGIAN KRONE Total Non-USD Cash 0.90 1.68 0.17 116,547.97 976.73 1,248,562.59 105,287.45 1,636.85 208,406.32 $315,330.62 114,124.85 1,609.84 210,728.51 $326,463.20 (8,837.40) 27.01 (2,322.19) ($11,132.58) $0.00 0.00% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield US Fixed Income 3PM MANAGED RESERVES FD GBP-C-DIST ISIN LU0539309053 051398-91-5 BP ISHARES GBP CORPORATE BOND UCITS ETF ISIN IE00B00FV011 SEDOL BOOFV01 461278-91-3 BP HSBC FINANCE CORP MEDIUM TERM NOTE 2.9% OCT 15 2015 DTD 10/15/2010 40429X-YB-6 A /BAA GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE NOTE MAY 11 2016 DTD 05/11/2007 EFTA01567439 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 105.59 150,000.00 158,385.00 150,000.00 8,385.00 5,400.00 1,590.00 1.48% 100.24 50,000.00 50,120.00 45,394.50 4,725.50 237.55 11.85 0.37% 212.41 102.79 105.00 100,000.00 22,303.47 102,785.00 19,023.08 100,000.00 3,280.39 200.95 2,785.00 2,900.00 1,095.50 1.16% 10,705.95 7.74 82,831.93 81,082.31 1,749.62 Account Page 11 of 28 Consolidated Statement Page 14 EFTA01567440 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Price US Fixed Income 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 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 $633,584.40 $606,197.13 $615,466.89 Non-US Fixed Income BLUEBAY HIGH YIELD BD FD GBP HDG-DB ISIN LU0222772518 G13289-92-4 BP 219.55 187.90 41,253.59 39,293.00 1,960.59 $27,387.27 $18,537.55 $4,481.55 2.03% 105.61 50,000.00 52,802.50 51,581.86 54,040.00 1,220.64 2,500.00 319.40 4.55% 109.27 100,000.00 EFTA01567441 109,271.00 106,127.35 110,503.00 3,143.65 5,000.00 222.20 4.16% 110.17 50,000.00 55,085.50 52,988.03 55,424.00 2,097.47 2,500.00 1,041.65 3.97% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 12 of 28 Consolidated Statement Page 15 EFTA01567442 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Price Non-US Fixed Income ISHARES GBP INDEX-LINKED GILTS UCITS ETF ISIN IE00B1FZSD53 SEDOL B1G52V0 46578W-92-2 BP Total Non-US Fixed Income $167,977.00 $157,505.32 $10,471.68 $0.00 0.00% 21.89 5,790.00 126,723.41 118,212.32 8,511.09 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 13 of 28 Consolidated Statement Page 16 EFTA01567443 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Other Summary Asset Categories Balanced Beginning Estimated Value 162,777.00 Ending Estimated Value 167,376.76 Change In Value 4,599.76 Current Allocation 3% Current Market Value/Cost Estimated Value Tax Cost Estimated Gain/Loss Note: ** Period Value 167,376.76 92,027.29 7,945.11 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 153.39 450.272 69,067.47 1,663.11 ** N/A Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 14 of 28 EFTA01567444 Consolidated Statement Page 17 EFTA01567445 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Price Balanced PIMCO FUNDS GLOBAL INVESTORS SERIES - GLOBAL INVESTMENT GRADE CREDIT FUND ISIN IE00B3BMD843 SEDOL B3BMD84 695421-91-7 BP Total Balanced $167,376.76 $92,027.29 $7,945.11 22.54 4,361.513 98,309.29 90,364.18 7,945.11 Quantity Value Adjusted Cost Original Cost Unrealized Gain/Loss Accruals Account Page 15 of 28 Consolidated Statement Page 18 EFTA01567446 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary - U S Dollar Beginning Cash Balance PRINCIPAL Current Transactions INFLOWS Income Contributions Total Inflows Ending Cash Balance Period Value 2,798,693.16 4,438.89 430.00 $4,868.89 $2,803,562.05 Year-To-Date Value* -13,181.67 430.00 $13,611 67 -$0.00 $0.00 $0.00 -INCOME Current Period Value 0.00 Year-To-Date Value* -Current Cost Adjustments Amortization Total Cost Adjustments Period Value (999.98) ($999.98) * 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* (1,557.34) ($1,557.34) Account Page 16 of 28 Consolidated Statement Page 19 EFTA01567447 EFTA01567448 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Detail - U S Dollar INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/3 2/3 2/11 2/18 Interest Income Interest Income Corporate Interest Municipal Interest Description DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14 @ .01% RATE ON AVG COLLECTED BALANCE OF $2,792,062.09 AS OF 02/01/14 COUNTRYWIDE CAPITAL V 7% PFD @ 0.4375 PER SHARE (ID: 222388-20-9) GENERAL ELEC CAP CORP MEDIUM TERM FLOATING RATE NOTE MAY 11 2016 DTD 05/11/2007 (ID: 36962G-2V-5) 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 (ID: 090874-FV-5) 2/21 2/24 Div Domest Misc Credit APACHE CORP @ 0.20 PER SHARE (ID: 037411-10-5) BOOK TRANSFER CREDIT B/0: J P MORGAN CLEARING CORP BROOKLYN NY 11245-0003 ORG:/2415587324 GHISLAINE MAXWELL OGB: JPMCLEARING CORP METROTECH CENTER TRN: 1210700055JJ 2/28 Div Domest Total Inflows & Outflows CITIGROUP INC NEW @ 0.01 PER SHARE (ID: 172967-42-4) 358.000 0.01 3.58 $4,868.89 95.000 0.20 19.00 430.00 100,000.000 0.025 EFTA01567449 2,500.00 4,200.000 50,000.000 0.438 0.001 1,837.50 55.54 Quantity Cost Per Unit Amount PRINCIPAL Amount 23.27 INCOME Amount Account Page 17 of 28 Consolidated Statement Page 20 EFTA01567450 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 COST ADJUSTMENTS Settle Date 2/18 Type Amortization Description 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 MUNICIPAL BOND PREMIUM AMORTIZATIO (ID: 090874-FV-5) Quantity 100,000.000 Cost Basis Adjustments (999.98) Account Page 18 of 28 Consolidated Statement Page 21 EFTA01567451 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary - Canadian Dollar PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Withdrawals TRADE ACTIVITY Total Trade Activity Settled Sales/Maturities/Redemptions Ending Cash Balance Period Value -50.89 $50.89 (38.21) ($38.21) 114,112.17 $114,112.17 -Year-To-Date Value* -111.65 $111.65 (98.97) ($98.97) 114,112.17 $114,112.17 -Local Value Current Period Value 0.00 56.19 56.19 (42.14) (42.14) 116,533.92 116,533.92 116,547.97 INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance EFTA01567452 Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 Year-To-Date Value* --Year-To-Date Value* -122.38 122.38 (108.33) (108.33) 116,533.92 116,533.92 -Account Page 19 of 28 Consolidated Statement Page 22 EFTA01567453 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary - Canadian Dollar Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 317,005.86 (316,967.65) Year-To-Date Value* 743,911.40 (743,812.43) * 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 2/5 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 01/29/2014 MATURITY 02/05/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538N9-9B-0) 2/5 2/12 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 02/05/2014 MATURITY 02/12/2014 HELD BY LONDON TREASURY SERVICES (ID: 2538P9-9S-1) 2/12 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT CANADIAN DOLLAR (ID: OCADPR-AA-6) (14.050) (12.72) (14.05) Account Page 20 of 28 Consolidated Statement Page 23 (14.040) 116,505.820 (12.67) (14.04) EFTA01567454 12.72 14.05 Quantity 116,491.780 Amount USD Local Value PRINCIPAL Amount USD Local Value 12.67 14.04 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01567455 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 2/19 Foreign Interest Description JP MORGAN CHASE BANK - CAD LONDON 0.6200% DATED 02/12/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538R9-9N-0) 2/19 2/26 Misc Disbursement REP: ROLLOVER T (ID: OCADPR-AA-6) Foreign Interest JP MORGAN CHASE BANK - CAD LONDON 0.6200% DATED 02/19/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538T9-9J-7) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 2/5 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON 0.6200% DATED 02/05/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538P9-9S-1) 2/12 Receipt of Assets JP MORGAN CHASE BANK - CAD LONDON 0.6200% DATED 02/12/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538R9-9N-0) Account Page 21 of 28 Consolidated Statement Page 24 116,519.870 114,099.35 105,509.91 $12.68 $0.00 (14.050) 116,533.920 (12.82) (14.05) TIME DEPOSITS 02/19/2014 0 TIME DEPOSIT CANADIAN DOLLAR TIME DEPOSITS 02/26/2014 TIME DEPOSITS 02/12/2014 CLIENT REF FTD TIME DEPOSITS 02/19/2014 CLIENT REF FTD EFTA01567456 12.68 14.05 Quantity 116,519.870 Amount USD Local Value PRINCIPAL Amount USD Local Value 12.82 14.05 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 116,505.820 114,086.63 Transaction Market Value * 105,135.42 EFTA01567457 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 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 2/19 Receipt of Assets Description JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 02/19/2014 MATURITY 02/26/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 253819-9J-7) Total Securities Transferred In Securities Transferred Out 2/5 Free Delivery $317,005.86 Quantity Cost 116,533.920 114,112.17 Transaction Market Value * 106,360.53 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) 2/12 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 02/05/2014 MATURITY 02/12/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538P9-9S-1) 2/19 Free Delivery JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS 0.6200% DATED 02/12/2014 MATURITY 02/19/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538R9-9N-0) Total Securities Transferred Out ($316,967.65) (116,519.870) 114,099.35 (106,347.71) (116,505.820) EFTA01567458 114,086.63 (105,497.19) (116,491.780) 114,073.96 (105,122.75) Account Page 22 of 28 Consolidated Statement Page 25 EFTA01567459 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 TRADE ACTIVITY - Canadian Dollar Per Unit Trade Date Settle Date 2/26 2/26 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Quantity JP MORGAN CHASE BANK - CAD LONDON TIME DEPOSITS (116,533.920) 0.6200% DATED 02/19/2014 MATURITY 02/26/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538T9-9J-7) Amount USD Local Value 97.922 100.00 Proceeds USD Local Value 114,112.17 116,533.92 Tax Cost USD Realized Local Value Gain/Loss USD (114,112.17) (116,533.92) Account Page 23 of 28 Consolidated Statement Page 26 EFTA01567460 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary - Norwegian Krone PRINCIPAL US Dollar Value Current Transactions Beginning Cash Balance INFLOWS Total Inflows Income OUTFLOWS ** Total Outflows Withdrawals TRADE ACTIVITY Total Trade Activity Settled Sales/Maturities/Redemptions Ending Cash Balance Period Value -134.93 $134.93 (100.92) ($100.92) 210,694.50 $210,694.50 -Year-To-Date Value* -303.62 $303.62 (269.61) ($269.61) 210,694.50 $210,694.50 -Local Value Current Period Value 0.00 825.10 825.10 (618.77) (618.77) 1,248,356.26 1,248,356.26 1,248,562.59 INCOME US Dollar Value Current Transactions Beginning Cash Balance Ending Cash Balance EFTA01567461 Period Value --Year-To-Date Value* --Local Value Current Period Value 0.00 0.00 Year-To-Date Value* --Year-To-Date Value* -1,864.33 1,864.33 (1,658.00) (1,658.00) 1,248,356.26 1,248,356.26 -Account Page 24 of 28 Consolidated Statement Page 27 EFTA01567462 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary - Norwegian Krone Current Securities Transferred In/Out Securities Transferred In Securities Transferred Out Period Value 610,733.80 (610,632.87) Year-To-Date Value* 1,420,894.46 (1,420,624.84) * 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 2/6 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 253809-9B-9) 2/6 2/13 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2538Q9-9J-0) 2/13 Misc Disbursement REP: ROLLOVER TO TIME DEPOSIT NORWEGIAN KRONE (ID: ONOKPR-AA-1) (206.260) (33.73) (206.26) Account Page 25 of 28 Consolidated Statement Page 28 (206.220) JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,943.710 0.8500% DATED 02/06/2014 MATURITY 02/13/2014 (33.03) (206.22) 33.73 206.26 Quantity EFTA01567463 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,247,737.490 0.8500% DATED 01/30/2014 MATURITY 02/06/2014 Amount USD Local Value PRINCIPAL Amount USD Local Value 33.03 206.22 INCOME Amount USD Local Value Currency Gain/Loss USD EFTA01567464 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 INFLOWS & OUTFLOWS Per Unit Type Settle Date Selection Method 2/20 Foreign Interest Description HELD BY LONDON TREASURY SERVICES (ID: 2538S9-9F-6) 2/20 2/27 Misc Disbursement REP: ROLLOVER T (ID: ONOKPR-AA-1) Foreign Interest HELD BY LONDON TREASURY SERVICES (ID: 2538U9-9D-8) Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 2/6 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON 0.8500% DATED 02/06/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538Q9-9J-0) 2/13 Receipt of Assets JP MORGAN CHASE BANK - NOK LONDON 0.8500% DATED 02/13/2014 MATURITY HELD BY LONDON TREASURY SERVICES (ID: 2538S9-9F-6) Account Page 26 of 28 Consolidated Statement Page 29 1,248,149.970 210,660.34 204,091.13 $34.01 $0.00 (206.290) JP MORGAN CHASE BANK - NOK LONDON 0.8500% DATED 02/20/2014 MATURITY (34.16) (206.29) 34.01 206.33 Quantity 0 TIME DEPOSIT NORWEGIAN KRONE TIME DEPOSITS 02/13/2014 CLIENT REF FTD TIME DEPOSITS 02/20/2014 CLIENT REF FTD TIME DEPOSITS 1,248,356.260 02/27/2014 EFTA01567465 JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 1,248,149.970 0.8500% DATED 02/13/2014 MATURITY 02/20/2014 Amount USD Local Value PRINCIPAL Amount USD Local Value 34.16 206.29 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 1,247,943.710 210,626.61 Transaction Market Value * 199,901.28 EFTA01567466 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 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 2/20 Receipt of Assets Description JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 02/20/2014 MATURITY 02/27/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538U9-9D-8) Total Securities Transferred In Securities Transferred Out 2/6 Free Delivery $610,733.80 Quantity Cost 1,248,356.260 210,694.50 Transaction Market Value * 206,741.39 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) 2/13 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 02/06/2014 MATURITY 02/13/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538Q9-9J-0) 2/20 Free Delivery JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS 0.8500% DATED 02/13/2014 MATURITY 02/20/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538S9-9F-6) Total Securities Transferred Out ($610,632.87) (1,248,149.970 ) 210,660.34 (206,707.23) (1,247,943.710 ) EFTA01567467 210,626.61 (204,057.40) (1,247,737.490 ) 210,593.58 (199,868.24) Account Page 27 of 28 Consolidated Statement Page 30 EFTA01567468 GHISLAINE MAXWELL ACCT. For the Period 2/1/14 to 2/28/14 TRADE ACTIVITY - Norwegian Krone Per Unit Trade Date Settle Date 2/27 2/27 Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Quantity JP MORGAN CHASE BANK - NOK LONDON TIME DEPOSITS (1,248,356.260 0.8500% DATED 02/20/2014 MATURITY 02/27/2014 HELD BY LONDON TREASURY SERVICES CLIENT REF FTD (ID: 2538U9-9D-8) Amount USD Local Value 16.878 100.00 Proceeds USD Local Value 210,694.50 1,248,356.26 Tax Cost USD Realized Local Value Gain/Loss USD (210,694.50) (1,248,356.26) Account Page 28 of 28 Consolidated Statement Page 31 EFTA01567469 J.P. Morgan Securities LLC GHISLAINE MAXWELL , New York, NY 10179 ACCT. For the Period 2/1/14 to 2/28/14 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, Please see disclosures located at the end of this statement package for important information relating to each J.P.Morgan account(s). Table of Contents Account Summary Portfolio Activity Page 2 3 Account Page 1 of 3 Consolidated Statement Page 32 EFTA01567470 GHISLAINE MAXWELL Account Summary MARGIN Cash Asset Allocation Cash & Fixed Income Market Value 0.00 Margin Market Value 0.00 Short Market Value 0.00 Market Value Annual Income Allocation 0.00 Total Estimated Current ACCT. For the Period 2/1/14 to 2/28/14 Account Page 2 of 3 Consolidated Statement Page 33 EFTA01567471 GHISLAINE MAXWELL Portfolio Activity Summary Beginning Cash Balance Transactions OUTFLOWS ** Total Outflows Withdrawals Ending Cash Balance ACCT. For the Period 2/1/14 to 2/28/14 PRINCIPAL INCOME Current Period Value 430.00 (430.00) ($430.00) $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 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/24 Description Misc Disbursement MDA# CB172436 FNDS WIRED TO SUB-ACCOUNT: MGN Quantity Cost Per Unit Amount PRINCIPAL Amount (430.00) INCOME Amount Year-To-Date Value* -(430.00) ($430.00) -Current Period Value 0.00 Year-To-Date Value* -$0.00 $0.00 $0.00 EFTA01567472 -Account Page 3 of 3 Consolidated Statement Page 34 EFTA01567473 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567474 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - OAP IHD , New York, NY 10017-2014 ACCT. For the Period 2/1/14 to 2/28/14 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). Table of Contents Account Summary Page 2 Holdings Equity Portfolio Activity 4 6 Account Page 1 of 15 Consolidated Statement Page 35 EFTA01567475 GHISLAINE MAXWELL - OAP IHD Account Summary Asset Allocation Equity Market Value Accruals Market Value with Accruals Beginning Market Value 1,847,938.92 $1,847,938.92 3,615.60 $1,851,554.52 Ending Market Value 137,528.10 $137,528.10 12,566.34 $150,094.44 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 1,847,938.92 (56,396.57) 42,152.23 (1,822,775.63) ($1,837,019.97) 28,036.93 98,572.22 $137,528.10 12,566.34 $150,094.44 Change In Value (1,710,410.82) ($1,710,410.82) 8,950.74 ($1,701,460.08) Year-to-Date Value 1,964,165.75 EFTA01567476 (62,251.99) 42,152.23 (1,822,775.63) ($1,842,875.39) 30,467.67 (14,229.93) $137,528.10 12,566.34 $150,094.44 Estimated 5,106.04 $5,106.04 Current Annual Income Allocation 100% 100% ACCT. For the Period 2/1/14 to 2/28/14 Account Page 2 of 15 Consolidated Statement Page 36 EFTA01567477 GHISLAINE MAXWELL OAP IHD Account Summary Tax Summary Foreign Dividends Interest Income Taxable Income CONTINUED Current Period Value 28,034.21 2.72 $28,036.93 Year-to-Date Value 30,463.70 3.97 $30,467.67 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value 622.50 1,557.88 $2,180.38 Year-to-Date Value 9,772.82 1,557.88 $11,330.70 ACCT. For the Period 2/1/14 to 2/28/14 Unrealized Gain/Loss To-Date Value $4,841.98 Cost Summary Equity Total 132,686.12 Cost $132,686.12 Account Page 3 of 15 Consolidated Statement Page 37 EFTA01567478 GHISLAINE MAXWELL - OAP IHD Equity Summary Asset Categories EAFE Equity Beginning Market Value 1,847,938.92 Ending Market Value 137,528.10 Change In Value (1,710,410.82) Current Allocation 100% ACCT. For the Period 2/1/14 to 2/28/14 Current Market Value/Cost Market Value Tax Cost Unrealized Gain/Loss Estimated Annual Income Accrued Dividends Yield Equity Detail Price EAFE Equity ASTRAZENECA PLC SPONS ADR 046353-10-8 AZN GLAXOSMITHKLINE PLC SPONS ADR 37733W-10-5 GSK 55.94 0.00 684.77 4.41% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Period Value 137,528.10 132,686.12 EFTA01567479 4,841.98 5,106.04 12,566.34 3.71% 67.76 0.00 624.15 4.13% Account Page 4 of 15 Consolidated Statement Page 38 EFTA01567480 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 Price EAFE Equity KIRIN HOLDINGS COMPANY LTD SPONS ADR 497350-30-6 KNBW RECKITT BENCKISER GROUP PLC SPONSORED ADR 756255-20-4 RBGL ROCHE HOLDINGS LTD SPONS ADR 771195-10-4 RHHB Y ROYAL DUTCH SHELL PLC ADR 780259-10-7 RDS UNILEVER N V US DOLLAR 39.56 904784-70-9 UN 1.00 VERIZON COMMUNICATIONS INC VODAFONE GROUP PLC 92343V-10-4 VZ 41.57 SPONS ADR 92857W-20-9 VODAFONE GROUP PLC-SP ADR Total EAFE Equity 92857W-30-8 VOD $137,528.10 $132,686.12 $4,841.98 $5,106.04 $12,566.34 3.71% 41.57 1,039.000 43,191.23 53,061.37 (9,870.14) 0.00 9,387.85 3,072.32 7.11% 3.88% 47.58 16,767.290 501.000 16,767.29 EFTA01567481 23,837.58 16,767.29 23,477.65 359.93 0.00 430.34 1,062.12 4.46% 3.09% 77.92 0.00 324.00 4.62% 16.63 38.38 1,400.000 53,732.00 0.00 776.95 39,379.81 14,352.19 971.60 1.81% 2.54% 13.71 0.00 338.28 2.02% Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield Account Page 5 of 15 Consolidated Statement Page 39 EFTA01567482 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 18,056.26 (41,187.63) ($23,131.37) $16,767.29 * 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 97,187.76 (103,712.32) ($6,524.56) -Current Period Value 68,258.30 28,036.93 $28,036.93 (52,622.75) (3,234.09) (539.73) ($56,396.57) Year-To-Date Value* -30,467.67 $30,467.67 (52,672.05) (8,781.61) (798.33) ($62,251.99) Current Securities Transferred In/Out Securities Transferred In EFTA01567483 Securities Transferred Out Period Value 42,152.23 (1,822,775.63) Year-To-Date Value* 42,152.23 (1,822,775.63) Account Page 6 of 15 Consolidated Statement Page 40 EFTA01567484 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/3 2/5 2/5 2/5 2/5 2/21 2/24 Interest Income Foreign Dividend Expenses Foreign Dividend FGN Tax Withheld Foreign Dividend Foreign Dividend Description DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14 @ .03% RATE ON AVG COLLECTED BALANCE OF $50,803.92 AS OF 02/01/14 VODAFONE GROUP PLC SPONS ADR @ 0.585415 PER SHARE (ID: 92857W-20-9) VODAFONE GROUP PLC SPONS ADR REPRESENTS @ .015 DEPOSITORY FEE (ID: 92857W-20-9) SIEMENS A G SPONS ADR @ 4.092767 PER SHARE (ID: 826197-50-1) SIEMENS A G SPONS ADR TAX WITHHELD GERMANY 26.40% (ID: 826197-50-1) IMPERIAL TOBACCO PLC ADR @ 2.708669 PER SHARE (ID: 453142-10-1) VODAFONE GROUP PLC SPONS ADR TAXABLE SPIN-OFF - HOLDERS RECEIVE 0.263001 OF A SHARE OF VERIZON COMMUNICATIONS, CUSIP: 92343V104, FOR EACH SPONSORED ADR HELD. SPIN-OFF IS TAXABLE AS A DIVIDEND VALUED AT 12.324227 PER SHARE OF VERIZON COMMUNICATIONS. THE NEW SHARES WILL HAVE A COST BASIS OF $46.86 PER SHARE BASED ON THE FAIR MARKET VALUE AS OF CLOSE OF BUSINESS ON 2/24/2014. (ID: 92857W-20-9) 2/26 2/26 Misc Disbursement TRANSFER TO UBS FINANCIAL SERVICES INC. Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 01-01-2014 TO 02-24-2014 (52,594.17) (2,047.34) EFTA01567485 1,905.000 1,905.000 500.000 500.000 515.000 1,905.000 2.709 12.324 4.093 0.585 1,115.22 (28.58) 2,046.38 (539.73) 1,394.96 23,477.65 Quantity Cost Per Unit Amount Amount 1.34 Account Page 7 of 15 Consolidated Statement Page 41 EFTA01567486 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/26 2/27 2/27 Interest Income Stock Split Description INTEREST FOR 02/01/14 THRU 02/25/14 @ 0.030% ON NET AVERAGE COLLECTED BALANCE OF 69,668.73 ROCHE HOLDINGS LTD SPONS ADR 2 FOR 1 STOCK SPLIT (ID: 771195-10-4) Fees & Commissions SCHAFER CULLEN CAPITAL MANAGEMENT MANAGEMENT FEE FOR 01-01-2014 TO 02-24-2014 Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred In 2/27 Description NonTaxableExchange VODAFONE GROUP PLC-SP ADR REVERSE SPLIT HOLDERS RECEIVE 6 NEW SPONSORED ADRS FOR EVERY 11 OLD SPONSORED ADRS OF VODAFONE GROUP PLC, CUSIP: 92857W209, HELD. (ID: 92857W-30-8) Securities Transferred Out 2/26 Free Delivery 2/26 Free Delivery 700.000 0.00 (1,186.75) ($28,359.64) Quantity Cost Per Unit Amount 0.03 Amount 1.38 * 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 EFTA01567487 1,039.000 53,061.37 Transaction Market Value * 42,152.23 ABB LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (1,475.000) 31,585.04 (ID: 000375-20-4) ALSTOM ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 021244-20-7) (4,875.000) 17,770.91 Account Page 8 of 15 (12,894.38) Consolidated Statement Page 42 (37,214.25) EFTA01567488 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Description ASTRAZENECA PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 046353-10-8) BAE SYSTEMS PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 05523R-10-7) BNP PARIBAS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 05565A-20-2) BAYER A G SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 072730-30-2) BHP LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 088606-10-8) BOC HONG KONG HOLDINGS LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 096813-20-9) BRITISH AMERICAN TOBACCO PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 110448-10-7) DEUTSCHE TELEKOM AG SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 251566-10-5) EFTA01567489 (4,270.000) 58,928.15 (73,593.45) (590.000) 62,046.30 (62,304.00) (555.000) 36,821.52 (34,271.25) (435.000) 32,227.68 (30,258.60) (245.000) 24,491.20 (34,015.80) (1,195.000) 47,674.46 (48,708.20) (1,000.000) 22,160.00 (27,570.00) Quantity Cost (365.000) 18,351.75 Transaction Market Value * (24,743.35) Account Page 9 of 15 Consolidated Statement Page 43 EFTA01567490 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Description DEUTSCHE POST AG SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 25157Y-20-2) GDF SUEZ SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 36160B-10-5) GLAXOSMITHKLINE PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 37733W-10-5) HSBC HOLDINGS PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 404280-40-6) IMPERIAL TOBACCO PLC ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 453142-10-1) KIRIN HOLDINGS COMPANY LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 497350-30-6) MTN GROUP LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 62474M-10-8) MUENCHENER RUECKVERSICHERUNGS - GESELLSCHAFT ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 626188-10-6) EFTA01567491 (2,610.000) 48,665.02 (56,793.60) (2,625.000) 49,970.21 (48,470.63) (3,010.000) 48,510.86 (40,168.45) (515.000) 36,270.85 (41,197.43) (1,145.000) 62,810.83 (59,986.55) (1,015.000) 48,412.36 (56,535.50) (1,980.000) 42,100.10 (48,302.10) Quantity Cost (1,360.000) 31,554.75 Transaction Market Value * (50,136.40) Account Page 10 of 15 Consolidated Statement Page 44 EFTA01567492 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Description NESTLE S A SPONS ADR REPSTG REG SH TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 641069-40-6) NIPPON TEL & TEL CORP ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 654624-10-5) NOVARTIS A G ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 66987V-10-9) LUKOIL OAO SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 677862-10-4) ORKLA A S A SPONS A/D/R TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 686331-10-9) TELEKOMUNIKASI IND SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 715684-10-6) RECKITT BENCKISER GROUP PLC SPONSORED ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 756255-20-4) ROYAL DUTCH SHELL PLC ADR TRANSFER TO UBS EFTA01567493 FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 780259-10-7) SANOFI TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 80105N-10-5) (1,195.000) 60,068.51 Account Page 11 of 15 (61,303.50) (400.000) 27,957.37 (31,456.00) (3,540.000) 48,749.99 (60,091.50) (690.000) 27,215.25 (26,716.80) (4,115.000) 32,560.21 (34,051.63) (1,035.000) 64,776.50 (58,094.55) (975.000) 68,101.01 (81,705.00) (2,210.000) 58,374.87 (62,101.00) Quantity Cost (1,055.000) 73,413.83 Transaction Market Value * (79,241.05) Consolidated Statement Page 45 EFTA01567494 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Description SIEMENS A G SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 826197-50-1) SINGAPORE TELECOMMUNICATIONS LTD ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 82929R-30-4) SMITHS GROUP PLC SPONSORED ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 83238P-20-3) STATOIL ASA SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 85771P-10-2) TAIWAN SEMICONDUCTOR MANUFACTURING CO LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 874039-10-0) TESCO PLC SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 881575-30-2) TOTAL SA SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 89151E-10-9) UNILEVER N V TRANSFER TO UBS FINANCIAL SERVICES EFTA01567495 INC. TRADE DATE 02/25/14 (ID: 904784-70-9) UNITED OVERSEAS BANK LTD SPONS ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 911271-30-2) Account Page 12 of 15 Consolidated Statement Page 46 (1,630.000) 66,467.39 (1,250.000) 39,130.24 (64,499.10) (41,156.25) (1,070.000) 54,046.70 (67,731.00) (1,520.000) 25,456.73 (25,513.20) (830.000) 14,793.04 (14,624.60) (1,450.000) 35,974.62 (38,251.00) (1,575.000) 30,754.80 (36,484.88) (1,765.000) 51,172.92 (50,743.75) Quantity Cost (500.000) 52,917.17 Transaction Market Value * (66,245.00) EFTA01567496 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/27 Exchange Description ZURICH INSURANCE GROUP-ADR TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 989825-10-4) VODAFONE GROUP PLC SPONS ADR REVERSE SPLIT - HOLDERS RECEIVE 6 NEW SPONSORED ADRS OF VODAFONE GROUP PLC, CUSIP: 92857W308 FOR EVERY 11 OLD SPONSORED ADRS HELD. (ID: 92857W-20-9) Total Securities Transferred Out TRADE ACTIVITY Note: Trade Date Settle Date 2/5 2/6 2/11 ($1,822,775.63) (1,905.000) 53,061.37 (74,295.00) Quantity Cost (2,025.000) 55,630.28 Transaction Market Value * (61,306.88) L indicates Long Term Realized Gain/Loss S indicates Short Term Realized Gain/Loss * Settled transaction was initiated in prior statement period and settled in current statement period Type Selection Method Description Settled Sales/Maturities/Redemptions Sale 2/10 High Cost EFTA01567497 Sale High Cost ABB LTD SPONS ADR @ 24.7907 6,817.44 BROKERAGE 11.00 TAX &/OR SEC .12 FIDELITY CAPITAL MARKETS (ID: 000375-20-4) ABB LTD SPONS ADR @ 25.0403 11,268.14 BROKERAGE 18.00 TAX &/OR SEC .20 FIDELITY CAPITAL MARKETS (ID: 000375-20-4) Total Settled Sales/Maturities/Redemptions $18,056.26 ($15,875.88) $1,557.88 L $622.50 S (450.000) 25.00 11,249.94 (9,707.94) 1,542.00 L Quantity (275.000) Per Unit Amount 24.75 Proceeds 6,806.32 Tax Cost (6,167.94) Realized Gain/Loss 15.88 L 622.50 S Account Page 13 of 15 Consolidated Statement Page 47 EFTA01567498 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 Trade Date Settle Date Type Settled Securities Purchased 1/29 Purchase 2/3 1/30 2/4 1/31 2/5 2/3 2/6 2/4 2/7 2/5 2/10 2/6 2/11 2/7 2/12 2/10 2/13 Purchase Purchase Purchase Purchase Purchase Purchase Purchase Purchase Description ORKLA A S A SPONS A/D/R @ 7.9811 3,112.63 BROKERAGE 3.90 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.8399 1,920.78 BROKERAGE 2.45 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.8687 2,045.86 BROKERAGE 2.60 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.7844 1,440.11 BROKERAGE 1.85 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.661 1,800.34 BROKERAGE 2.35 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.7177 1,890.84 BROKERAGE 2.45 FIDELITY CAPITAL MARKETS EFTA01567499 (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.5518 1,246.05 BROKERAGE 1.65 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.5186 2,330.77 BROKERAGE 3.10 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) ORKLA A S A SPONS A/D/R @ 7.599 1,899.75 BROKERAGE 2.50 FIDELITY CAPITAL MARKETS (ID: 686331-10-9) 250.000 7.609 (1,902.25) 310.000 7.529 (2,333.87) 165.000 7.562 (1,247.70) 245.000 7.728 (1,893.29) 235.000 7.671 (1,802.69) 185.000 7.794 (1,441.96) 260.000 7.879 (2,048.46) * 245.000 7.85 (1,923.23) * Quantity 390.000 Per Unit Amount 7.991 Market Cost (3,116.53) * Account Page 14 of 15 Consolidated Statement Page 48 EFTA01567500 GHISLAINE MAXWELL - OAP IHD ACCT. For the Period 2/1/14 to 2/28/14 Trade Date Settle Date Type Settled Securities Purchased 2/24 Purchase 2/24 Description VERIZON COMMUNICATIONS INC TAXABLE SPIN-OFF - HOLDERS RECEIVE 0.263001 OF A SHARE FOR EACH SPONSORED ADR OF VODAFONE GROUP PL CUSIP: 92857W209, HELD. SPIN-OFF IS TAXABLE AS A DIVIDEND VALUED AT 12.324227 PER SHARE OF VERIZON COMMUNICATIONS. THE NEW SHARES WILL HAVE A COST BASIS OF $46.86 PER SHARE BASED ON THE FAIR MARKET VALUE AS OF CLOSE OF BUSINESS ON 2/24/2014. (ID: 92343V-10-4) Total Settled Securities Purchased ($41,187.63) Quantity 501.000 Per Unit Amount 46.862 Market Cost (23,477.65) Account Page 15 of 15 Consolidated Statement Page 49 EFTA01567501 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567502 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP DYS , New York, NY 10017-2014 ACCT. For the Period 2/1/14 to 2/28/14 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). Table of Contents Account Summary Page 2 Holdings Equity Alternative Assets Cash & Fixed Income Portfolio Activity 4 6 7 9 Account Page 1 of 15 Consolidated Statement Page 50 EFTA01567503 GHISLAINE MAXWELL - TAP DYS Account Summary Asset Allocation Equity Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 154,064.14 211,125.49 671,012.32 $1,036,201.95 159.30 $1,036,361.25 Ending Market Value 52,071.98 0.00 74,372.70 $126,444.68 0.00 $126,444.68 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Period Value 1,036,201.95 (50,679.32) (874,442.33) ($925,121.65) 2,277.41 13,086.97 $126,444.68 Change In Value (101,992.16) (211,125.49) (596,639.62) ($909,757.27) (159.30) ($909,916.57) Equity EFTA01567504 Year-to-Date Value 1,036,257.60 (52,551.54) (874,442.33) ($926,993.87) 4,840.70 12,340.25 $126,444.68 Estimated 760.36 Current Annual Income Allocation 41% 2,276.29 $3,036.65 59% 100% Cash & Fixed Income Asset Allocation ACCT. For the Period 2/1/14 to 2/28/14 Account Page 2 of 15 Consolidated Statement Page 51 EFTA01567505 GHISLAINE MAXWELL - TAP DYS Account Summary Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income CONTINUED Current Period Value 2,275.19 2.22 $2,277.41 Year-to-Date Value 4,837.52 3.18 $4,840.70 ST Realized Gain/Loss LT Realized Gain/Loss Realized Gain/Loss Current Period Value (43.12) ($43.12) Year-to-Date Value 400.50 (43.12) $357.38 ACCT. For the Period 2/1/14 to 2/28/14 Unrealized Gain/Loss To-Date Value $5,885.86 Cost Summary Equity Cash & Fixed Income Total 74,264.82 Cost 46,294.00 $120,558.82 Account Page 3 of 15 Consolidated Statement Page 52 EFTA01567506 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 92,346.50 22,722.35 38,995.29 $154,064.14 Ending Market Value 52,071.98 0.00 0.00 $52,071.98 Current Period Value 52,071.98 46,294.00 5,777.98 760.36 1.46% Change In Value (40,274.52) (22,722.35) (38,995.29) ($101,992.16) Current Allocation 41% ACCT. For the Period 2/1/14 to 2/28/14 41% Account Page 4 of 15 Consolidated Statement Page 53 EFTA01567507 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 Equity Detail Price US Large Cap Equity SIT DIVIDEND GROWTH FUND-I 82980D-70-7 SDVG X Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Inc. Accrued Div. Yield 17.60 2,958.635 52,071.98 46,294.00 5,777.98 760.36 1.46% Account Page 5 of 15 Consolidated Statement Page 54 EFTA01567508 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 Alternative Assets Summary Beginning Asset Categories Hedge Funds Real Estate & Infrastructure Total Value Estimated Value 174,652.72 36,472.77 $211,125.49 Ending Estimated Value 0.00 0.00 $0.00 Change In Value (174,652.72) (36,472.77) ($211,125.49) Current Allocation Account Page 6 of 15 Consolidated Statement Page 55 EFTA01567509 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 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 Yield Market Value 47,214.85 623,797.47 $671,012.32 Ending Market Value 18,867.82 55,504.88 $74,372.70 Current Period Value 74,372.70 74,264.82 107.88 2,276.29 3.06% Cash & Fixed Income as a percentage of your portfolio 59 % SUMMARY BY MATURITY 1 Cash & Fixed Income 0-6 months 1 SUMMARY BY TYPE Market Value 74,372.70 % 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 Total Value Market EFTA01567510 Value 18,867.82 55,504.88 $74,372.70 % of Bond Portfolio 25% 75% 100% Cash US Fixed Income Change In Value (28,347.03) (568,292.59) ($596,639.62) Current Allocation 15% 44% 59% Asset Categories Account Page 7 of 15 Consolidated Statement Page 56 EFTA01567511 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 Cash & Fixed Income Detail Price Cash US DOLLAR US Fixed Income TRP INST FLOATING RATE-F 779586-10-5 10.29 5,394.06 55,504.88 55,397.00 107.88 2,276.29 4.10% 1.00 18,867.82 18,867.82 18,867.82 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 8 of 15 Consolidated Statement Page 57 EFTA01567512 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Withdrawals Fees & Commissions Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance 35,996.88 (15,942.00) $20,054.88 $18,867.82 * 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 67,002.55 (37,417.00) $29,585.55 -Current Period Value 47,214.85 2,277.41 $2,277.41 (49,546.11) (1,133.21) ($50,679.32) Year-To-Date Value* -4,840.70 $4,840.70 Current (49,546.11) (3,005.43) ($52,551.54) Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value (216.01) EFTA01567513 ($216.01) Year-To-Date Value* (216.01) ($216.01) Current Securities Transferred In/Out Securities Transferred Out Period Value (874,442.33) Year-To-Date Value* (874,442.33) Account Page 9 of 15 Consolidated Statement Page 58 EFTA01567514 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/3 2/3 2/3 2/3 2/3 2/3 2/3 2/4 2/4 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14 @ .03% RATE ON AVG COLLECTED BALANCE OF $48,234.27 AS OF 02/01/14 3PM STRAT INCOME OPPORT FD - SEL FUND 3844 @ 0.008 PER SHARE (ID: 4812A4-35-1) 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 @ 0.028 PER SHARE (ID: 48121A-29-0) BLACKROCK HIGH YIELD BOND 01/31/14 INCOME DIVIDEND @ 0.043 PER SHARE AS OF 01/31/14 (ID: 091929-63-8) EATON VANCE FLOATING-RATE ADVANTAGE I 01/31/14 INCOME DIVIDEND @ 0.042 PER SHARE AS OF 01/31/14 (ID: 277923-63-7) HSBC FDS TOTAL RETURN I 02/03/14 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) METROPOLITAN WEST FDS TOTAL RET CL I 01/31/14 INCOME DIVIDEND @ 0.018 PER SHARE AS OF 01/31/14 (ID: 592905-50-9) COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 01/31/14 INCOME DIVIDEND @ 0.071 PER SHARE AS OF 01/31/14 (ID: 19248X-30-7) DOUBLELINE TOTAL RET BD-I 01/31/14 INCOME DIVIDEND @ 0.048 PER SHARE AS OF 01/31/14 (ID: 258620-10-3) 12,498.155 0.048 EFTA01567515 601.50 4,493.967 0.071 319.07 3,858.567 7,192.344 0.005 0.018 19.29 131.93 7,524.150 0.042 319.37 3,015.900 4,784.864 7,292.312 0.008 0.028 0.043 24.13 133.98 316.53 Quantity Cost Per Unit Amount Amount 1.19 Account Page 10 of 15 Consolidated Statement Page 59 EFTA01567516 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/4 2/4 2/26 2/26 2/26 Div Domest Div Domest Misc Disbursement Description RIDGEWORTH SEIX FLOATING-I 02/03/14 INCOME DIVIDEND @ 0.032 PER SHARE AS OF 02/03/14 (ID: 76628T-67-8) TRP INST FLOATING RATE-F 01/31/14 INCOME DIVIDEND @ 0.037 PER SHARE AS OF 01/31/14 (ID: 779588-10-5) TRANSFER TO UBS FINANCIAL SERVICES INC. Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 01-01-2014 TO 02-24-2014 Interest Income Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred Out 2/25 Free Delivery 2/25 Free Delivery Description 3PM INTREPID EUROPEAN FD - INSTL FUND 1300 TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 4812A0-68-0) 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 48121A-29-0) Account Page 11 of 15 Consolidated Statement Page 60 (4,784.864) 49,092.71 (49,523.34) INTEREST FOR 02/01/14 THRU 02/25/14 @ 0.030% ON NET AVERAGE COLLECTED BALANCE OF 52,035.75 0.03 (49,546.11) (1,133.21) 1.03 EFTA01567517 ($48,401.91) 5,394.060 0.037 202.13 Quantity Cost Per Unit Amount 6,502.655 0.032 Amount 207.26 * 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 (875.283) 20,316.00 Transaction Market Value * (24,612.96) EFTA01567518 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Description AVENUE MUT FDS TR CRED STRA INST TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 05358F-30-1) BLACKROCK HIGH YIELD BOND TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 091929-63-8) COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 19248X-30-7) COLUMBIA FD SER TRT - COLUMBIA CONVERTIBLE SECURITIES FD - Z TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 19765H-72-7) 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery DOUBLELINE TOTAL RET BD-I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 258620-10-3) EATON VANCE FLOATING-RATE ADVANTAGE I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 277923-63-7) GATEWAY FUND-Y TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 367829-88-4) HSBC FDS TOTAL RETURN I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 EFTA01567519 (ID: 40428X-15-6) (3,858.567) 39,704.65 (38,778.60) (1,089.208) 30,040.36 (31,358.30) (7,524.150) 84,120.00 (84,195.24) (12,498.155) 142,229.00 (137,479.71) (1,987.557) 36,465.00 (38,200.85) (4,493.967) 60,407.99 (59,679.88) (7,292.312) 59,201.48 (60,817.88) Quantity Cost (2,734.963) 30,896.00 Transaction Market Value * (31,780.27) Account Page 12 of 15 Consolidated Statement Page 61 EFTA01567520 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Total Securities Transferred Out Description HARBOR HIGH YIELD BOND-INST TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 411511-55-3) HARBOR CONVERTIBLE SEC-INST TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 411512-73-4) CLEARBRIDGE EQUITY INC FD-I CAP & INCOME I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 52469H-59-4) TORTOISE MLP & PIPELINE-INS TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 56166Y-40-4) MATTHEWS ASIA DIVIDEND-INS TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 577130-75-0) METROPOLITAN WEST FDS TOTAL RET CL I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 592905-50-9) RIDGEWORTH SEIX FLOATING-I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 76628T-67-8) ($874,442.33) (6,502.655) 58,784.00 (58,979.08) EFTA01567521 (7,192.344) 77,030.00 (76,886.16) (2,638.382) 39,286.00 (39,734.03) (2,296.774) 30,616.00 (37,598.19) (2,339.801) 41,251.00 (43,262.92) (2,833.314) 29,272.00 (32,101.45) Quantity Cost (2,660.657) 29,905.78 Transaction Market Value * (29,453.47) Account Page 13 of 15 Consolidated Statement Page 62 EFTA01567522 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 TRADE ACTIVITY Note: Trade Date Settle Date 2/19 2/20 2/20 2/21 L indicates Long Term Realized Gain/Loss Type Selection Method Description Settled Sales/Maturities/Redemptions Sale High Cost Sale High Cost JPM STRAT INCOME OPPORT FD - SEL FUND 3844 JP MORGAN CHASE BANK AS SHAREHOLDER SERVICING AGENT @ 11.93 (ID: 4812A4-35-1) JPM STRAT INCOME OPPORT FD - SEL FUND 3844 JP MORGAN CHASE BANK AS SHAREHOLDER SERVICING AGENT @ 11.94 (ID: 4812A4-35-1) Total Settled Sales/Maturities/Redemptions $35,996.88 ($36,040.00) ($43.12) L (1,719.923) 11.94 20,535.88 (20,553.08) (17.20) L Quantity (1,295.977) Per Unit Amount 11.93 Proceeds 15,461.00 Tax Cost (15,486.92) Realized Gain/Loss (25.92) L Trade Date Settle Date Type Description Settled Securities Purchased 2/19 EFTA01567523 Purchase 2/20 COLUMBIA FD SER TRT - COLUMBIA CONVERTIBLE SECURITIES FD - Z (ID: 19765H-72-7) Quantity 840.380 Per Unit Amount 18.97 Market Cost (15,942.00) Account Page 14 of 15 Consolidated Statement Page 63 EFTA01567524 GHISLAINE MAXWELL - TAP DYS ACCT. For the Period 2/1/14 to 2/28/14 COST ADJUSTMENTS Settle Date 2/11 Type Cost Basis Adj Description COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC RETURN OF CAPITAL ADJUSTMENT FOR 2013 DIVIDENDS (ID: 19248X-30-7) Quantity 4,493.967 Cost Basis Adjustments (216.01) Account Page 15 of 15 Consolidated Statement Page 64 EFTA01567525 THIS PAGE INTENTIONALLY LEFT BLANK EFTA01567526 JPMorgan Chase Bank, N.A. GHISLAINE MAXWELL - TAP ARFI , New York, NY 10017-2014 ACCT. For the Period 2/1/14 to 2/28/14 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). Table of Contents Account Summary Page 2 Portfolio Activity 4 Account Page 1 of 8 Consolidated Statement Page 65 EFTA01567527 GHISLAINE MAXWELL - TAP ARFI Account Summary Asset Allocation Alternative Assets Cash & Fixed Income Market Value Accruals Market Value with Accruals Beginning Market Value 452,970.32 551,473.04 $1,004,443.36 355.66 $1,004,799.02 Ending Market Value 0.00 19,270.99 $19,270.99 0.00 $19,270.99 Current Portfolio Activity Beginning Market Value Withdrawals & Fees Securities Transferred Out Net Contributions/Withdrawals Income & Distributions Change In Investment Value Ending Market Value Tax Summary Domestic Dividends/Distributions Interest Income Taxable Income Period Value 1,004,443.36 (31,265.22) (961,089.67) ($992,354.89) 1,690.06 5,492.46 $19,270.99 Current Period Value 1,687.82 2.24 $1,690.06 Change In Value (452,970.32) EFTA01567528 (532,202.05) ($985,172.37) (355.66) ($985,528.03) Year-to-Date Value 1,002,786.16 (32,459.49) (961,089.67) ($993,549.16) 4,118.67 5,915.32 $19,270.99 Year-to-Date Value 4,115.19 3.48 $4,118.67 ST Realized Gain/Loss Realized Gain/Loss Current Period Value Year-to-Date Value (1,968.26) ($1,968.26) $0.00 Estimated Current Annual Income Allocation 100% 100% ACCT. For the Period 2/1/14 to 2/28/14 Account Page 2 of 8 Consolidated Statement Page 66 EFTA01567529 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 2/1/14 to 2/28/14 Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 19,270.99 19,270.99 19,270.99 Quantity Value Adjusted Tax Cost Original Cost Unrealized Gain/Loss Est. Annual Income Accrued Interest Yield Account Page 3 of 8 Consolidated Statement Page 67 EFTA01567530 GHISLAINE MAXWELL - TAP ARFI Portfolio Activity Summary Beginning Cash Balance Transactions INFLOWS Total Inflows Income OUTFLOWS ** Withdrawals Fees & Commissions Total Outflows TRADE ACTIVITY Settled Sales/Maturities/Redemptions Settled Securities Purchased Total Trade Activity Ending Cash Balance $0.00 $19,270.99 * 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) -ACCT. For the Period 2/1/14 to 2/28/14 Current Period Value 48,846.15 1,690.06 $1,690.06 (30,535.25) (729.97) ($31,265.22) Year-To-Date Value* -4,118.67 $4,118.67 Current (30,535.25) (1,924.24) ($32,459.49) Cost Adjustments Cost Adjustments Total Cost Adjustments Period Value (103.47) ($103.47) EFTA01567531 Year-To-Date Value* (103.47) ($103.47) Current Securities Transferred In/Out Securities Transferred Out Period Value (961,089.67) Year-To-Date Value* (961,089.67) Account Page 4 of 8 Consolidated Statement Page 68 EFTA01567532 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 2/1/14 to 2/28/14 Portfolio Activity Detail INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/3 2/3 2/3 2/3 2/3 2/3 2/4 2/4 2/4 Interest Income Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Div Domest Description DEPOSIT SWEEP INTEREST FOR 01/01/14 - 01/31/14 @ .03% RATE ON AVG COLLECTED BALANCE OF $51,374.77 AS OF 02/01/14 JPM STRAT INCOME OPPORT FD - SEL FUND 3844 @ 0.008 PER SHARE (ID: 4812A4-35-1) JPM MULTI SECTOR INCOME FD - SEL FUND 2130 @ 0.028 PER SHARE (ID: 48121A-29-0) EATON VANCE FLOATING RATE-I 01/31/14 INCOME DIVIDEND @ 0.028 PER SHARE AS OF 01/31/14 (ID: 277911-49-1) HSBC FDS TOTAL RETURN I 02/03/14 INCOME DIVIDEND @ 0.005 PER SHARE (ID: 40428X-15-6) PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z 01/31/14 INCOME DIVIDEND @ 0.025 PER SHARE AS OF 01/31/14 (ID: 74441J-82-9) DOUBLELINE TOTAL RET BD-I 01/31/14 INCOME DIVIDEND @ 0.048 PER SHARE AS OF 01/31/14 (ID: 258620-10-3) GOLDMAN SACHS TR STRG INCM INST 01/31/14 INCOME DIVIDEND @ 0.032 PER SHARE AS OF 01/31/14 (ID: 38145C-64-6) PIMCO UNCONSTRAINED BOND-P 01/31/14 INCOME DIVIDEND @ 0.008 PER SHARE AS OF 01/31/14 (ID: 72201M-45-3) 14,308.333 0.008 EFTA01567533 108.62 13,465.623 0.017 233.44 4,490.660 0.048 216.12 5,780.066 9,610.855 0.005 0.025 28.90 241.92 10,517.975 9,651.542 8,191.630 0.008 0.028 0.022 84.14 270.24 177.04 Quantity Cost Per Unit Amount Amount 1.28 Account Page 5 of 8 Consolidated Statement Page 69 EFTA01567534 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 2/1/14 to 2/28/14 INFLOWS & OUTFLOWS Type Settle Date Selection Method 2/4 2/26 2/26 2/26 Div Domest Misc Disbursement Description RBC FDS TR BLUBAY ABRTR I 01/31/14 INCOME DIVIDEND @ 0.022 PER SHARE AS OF 01/31/14 (ID: 74926P-34-0) TRANSFER TO UBS FINANCIAL SERVICES INC. Fees & Commissions JPMORGAN CHASE INVESTMENT MANAGEMENT FEE FOR THE PERIOD 01-01-2014 TO 02-24-2014 Interest Income Total Inflows & Outflows SECURITIES TRANSFERRED IN/OUT Notes: Settle Date Selection Method Securities Transferred Out 2/25 Free Delivery 2/25 2/26 Free Delivery Free Delivery Description 3PM STRAT INCOME OPPORT FD - SEL FUND 3844 TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 4812A4-35-1) 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 48121A-29-0) DOUBLELINE TOTAL RET BD-I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 258620-10-3) Account Page 6 of 8 Consolidated Statement Page 70 (4,490.660) 51,103.71 (49,397.26) (9,651.542) 99,024.83 (99,893.46) INTEREST FOR 02/01/14 THRU 02/25/14 @ 0.030% ON NET AVERAGE COLLECTED BALANCE OF 50,439.90 0.03 EFTA01567535 (30,535.25) (729.97) 0.96 ($29,575.16) Quantity Cost Per Unit Amount 14,793.787 0.022 Amount 327.40 * 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 (10,517.975) 125,689.80 Transaction Market Value * (125,584.62) EFTA01567536 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 2/1/14 to 2/28/14 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 2/26 Free Delivery 2/26 2/26 2/26 2/26 2/26 Free Delivery Free Delivery Free Delivery Free Delivery Free Delivery Total Securities Transferred Out Description EATON VANCE FLOATING RATE-I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 277911-49-1) GOLDMAN SACHS TR STRG INCM INST TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 38145C-64-6) HSBC FDS TOTAL RETURN I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 40428X-15-6) PIMCO UNCONSTRAINED BOND-P TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 72201M-45-3) PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 744413-82-9) RBC FDS TR BLUBAY ABRTR I TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE DATE 02/25/14 (ID: 74926P-34-0) ($961,089.67) (14,793.787) 150,359.83 (155,038.89) (9,610.855) 96,007.32 (94,763.03) (14,308.333) 164,832.00 EFTA01567537 (160,253.33) (5,780.066) 59,171.00 (58,089.66) (13,465.623) 141,991.00 (142,870.26) Quantity Cost (8,191.630) 75,281.00 Transaction Market Value * (75,199.16) Account Page 7 of 8 Consolidated Statement Page 71 EFTA01567538 GHISLAINE MAXWELL - TAP ARFI ACCT. For the Period 2/1/14 to 2/28/14 COST ADJUSTMENTS Settle Date 2/5 2/5 Type Cost Basis Adj Cost Basis Adj Total Cost Adjustments Description PRUDENTIAL INVT PORTFOLIOS 9 PRU ABRTN FD Z RETURN OF CAPITAL ADJUSTMENT FOR 2013 DIVIDENDS (ID: 74441J-82-9) RBC FDS TR BLUBAY ABRTR I RETURN OF CAPITAL ADJUSTMENT FOR 2013 DIVIDENDS (ID: 74926P-34-0) 14,793.787 (74.17) ($103.47) Quantity 9,610.855 Cost Basis Adjustments (29.30) Account Page 8 of 8 Consolidated Statement Page 72 EFTA01567539 For the Period 2/1/14 to 2/28/14 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 EFTA01567540 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 EFTA01567541 For the Period 2/1/14 to 2/28/14 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, EFTA01567542 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 EFTA01567543 For the Period 2/1/14 to 2/28/14 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. EFTA01567544 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 Cor . ("JPMCC"), Three Chase Metrotech Center, Brooklyn, NY 11245-001, 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 EFTA01567545 For the Period 2/1/14 to 2/28/14 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 EFTA01567546 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 EFTA01567547 For the Period 2/1/14 to 2/28/14 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 EFTA01567548 EFTA01567549