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DYS 270 Park Avenue, New York, NY 10017-2014 ACCT. V49935006 For the Period 11/1/13 to 11/30/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Clien
.66 0.70 US Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST AVENUE MUT FDS TR 411511-55-3 10.97 411512-73-4 11.35 CRED STRA INST 05358F-30-1 3PM MULTI SECTOR INCOME FD - SEL FUND 2130 48121A-29-0 COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 19248X-30-7 DOUBLE
urities Purchased 11/12 Purchase 11/13 11/18 11/20 11/25 11/26 Total Settled Securities Purchased Purchase Purchase AVENUE MUT FDS TR CRED STRA INST (ID: 05358F-30-1) AVENUE MUT FDS TR CRED STRA INST (ID: 05358F-30-1) AVENUE MUT FDS TR CRED STRA INST (ID: 05358F-30-1) Quantity 910.736 912.
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GHISLAINE MAXWELL - TAP ARFI , New York, NY 10017-2014 ACCT. For the Period 12/1/13 to 12/31/13 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Clien
nt. Cash & Fixed Income Detail Price Cash US DOLLAR 1.00 36,993.11 36,993.11 36,993.11 11.09 0.96 US Fixed Income AVENUE MUT FDS TR CRED STRA INST 05358F-30-1 COHEN & STEERS PREFERRED SECURITIES AND INCOME FUND INC 19248X-30-7 METROPOLITAN WEST FDS TOTAL RET CL I 592905-50-9 HARBOR HIGH
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LAINE MAXWELL - TAP ARFI 270 P , New York, NY 10017-2014 ACCT. For the Period 1/1/14 to 1/31/14 Investment Management Account J.P. Morgan Team James Buckley Jason Bell Janet Young Gina Magliocco Jason Grosse Online access Banker Investment Specialist Client Service Team Client Service Team Clien
.16 1.19 US Fixed Income HARBOR HIGH YIELD BOND-INST HARBOR CONVERTIBLE SEC-INST AVENUE MUT FDS TR 411511-55-3 11.07 411512-73-4 11.46 CRED STRA INST 05358F-30-1 DOUBLELINE TOTAL RET BD-I 3PM STRAT INCOME OPPORT FD SEL 258620-10-3 11.91 FUND 3844 4812A4-35-1 3PM MULTI SECTOR INCOME FD SEL
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Mutual Connections (17)
Entities connected to both James Buckley and STRA INST
Ghislaine Maxwell
PERSON186 w/ James·7 w/ STRA
JB
Jason Bell
PERSON178 w/ James·3 w/ STRA
JG
Jason Grosse
PERSON139 w/ James·3 w/ STRA
JPMorgan Chase
ORGANIZATION123 w/ James·3 w/ STRA
Nassau
LOCATION89 w/ James·3 w/ STRA
the Internal Revenue Service
ORGANIZATION79 w/ James·3 w/ STRA
Newark
LOCATION48 w/ James·3 w/ STRA
Securities Investor Protection Corporation
ORGANIZATION41 w/ James·3 w/ STRA
JPMorgan Fund
ORGANIZATION32 w/ James·3 w/ STRA
Global Access Portfolios
ORGANIZATION25 w/ James·2 w/ STRA
Michael Cohen
PERSON11 w/ James·4 w/ STRA
COHEN & STEERS PREFERRED SECURITIES
ORGANIZATION10 w/ James·4 w/ STRA
Goldman Sachs
ORGANIZATION9 w/ James·3 w/ STRA
EUROPEAN FD - INSTL FUND 1300
ORGANIZATION4 w/ James·3 w/ STRA
JPM INTREPID EUROPEAN FD - INSTL
ORGANIZATION3 w/ James·2 w/ STRA
PIMCO UNCONSTRAINED BOND-P
ORGANIZATION3 w/ James·2 w/ STRA
MULTI SECTOR INCOME FD
ORGANIZATION2 w/ James·2 w/ STRA