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ORPORATION (ID: 855030-10-2) 8.000 11.43 -44) 10/25 10/30 Purchase CLIFFS NATURAL RESOURCES INC et 38A765 115.43 BROKERAGE 0.06 CREDIT SUISSE FIRST BOSTON LLC (ID: 18683K-10-1) 3.000 38.497 (115.49) 10/25 10/30 Purchase CUFFS NATURAL RESOURCES INC @ 38.4765 500.19 BROKERAGE 0.26 CREDIT SUISSE FIRST
GE 0.04 CREDIT SUISSE FIRST BOSTON LLC (ID: 713448-10-8) 2.000 68.81 (137.62) 10/25 10/30 Purchase XILINX CORP @ 325027 16251 BROKERAGE 0.10 CREDIT SUISSE FIRST BOSTON LLC (ID: 983919-10-1) 5.000 32522 (162.61) 10/25 10/31 Purchase STAPLES INC 12 11.3908 523.98 BROKERAGE 1.38 RBC CAPITAL MARKETS CORPORATION (ID:
y Per Unit Amount Market Cost Sett '.e Date Settled Securities Purchased 10/24 Purchase 10/30 STAPLES INC (II 11.2934 711.48 BROKERAGE 1.26 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 855030-10-2) 63.000 11.313 (712.74) 10/25 10/30 Purchase STAPLES INC @ 11.41 91.28 BROKERAGE 0.16 RBC CAPITAL MARKETS CORPORATION (ID:
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Method Description Settled Sales/Maturities/Redemptions 1117 Sale RAYTHEON CO Q 55.2723 508.00 BROKERAGE 0.22 TAX 11/13 High Cost &OR SEC .01 CREDIT SUISSE FIRST BOSTON LLC (ID: 755111-50.7) (11.000) 55.252 607.77 (460.32) 147.45 L 11/7 Sale RAYTHEON CO Q 55.3082 331.85 BROKERAGE 0.12 TAX 11/13 High Cost Es/O
YNCH PIERCE FENNER & SMIT (ID: 713448-10-8) 1.000 89.37 (69.37) * 10131 Purchase STAPLES INC 11.507 138.08 BROKERAGE 0.24 115 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) 12.000 11.527 (138.32) 10131 Purchase XILINX CORP 032.7469 32.75 BROKERAGE 0.02 11/5 GOLDMAN SACHS & CO. (ID: 983919-10-1)
rnount Market Cost Settle Date Type Description Settled Securities Purchased 10131 Purchase PEPSICO INC 0 69.3508 69.35 BROKERAGE 0.02 11/5 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 713448-10-8) 1.000 89.37 (69.37) * 10131 Purchase STAPLES INC 11.507 138.08 BROKERAGE 0.24 115 CREDIT SUISSE FIRST BOSTON LLC (ID: 855
2 mentions1 same-page
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MARKETS CORPORATION (ID: 855030-10-2) 57.000 11.446 (652.43) 11/8 11/14 Purchase STAPLES INC ill 11.6519 349.56 BROKERAGE 0.60 CREDIT SUISSE FIRST BOSTON LLC (ID: 866030-10-2) 30.000 11.672 (350.16) 11/8 11/14 Purchase XILINX CORP @ 33.8424 33.84 BROKERAGE 0.02 CREDIT SUISSE FIRST BOSTON LLC (ID: 9
uantity Per Unit Amount Market Cost Sett 'e Date Settled Securities Purchased 11/6 Purchase 11/9 STAPLES INC . 11.801 601.85 BROKERAGE 1.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 855030-10-2) 51.000 11.821 (032.87) 11/8 11/9 Purchase XILINX CORP 41? 33.865101.60 BROKERAGE 0.06 MERRILL LYNCH PIERCE FENNER & SMIT
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2 mentions1 same-page
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ount Market Cost Sett 'e Date Type Settled Securities Purchased 11/1 Purchase 11/8 STAPLES INC @ 11.8577 538.25 BROKERAGE 0.92 CREDIT SUISSE FIRST BOSTON LLC (ID: 855030-10-2) 46.000 11.678 (537.17) 11/1 11/6 Purchase STAPLES INC @ 11.5759 382.00 BROKERAGE 0.99 PERSHING & COMPANY (ID: 855030-10-2)
OKERAGE 0.02 DEUTSCHE BANC ALEX BROWN INC (ID: 983919-10-1) 1.000 33.19 (33.19) 11/8 11/9 Purchase PEPSICO INC 69.3468 69.35 BROKERAGE 0.02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 713448-10-8) 1.000 89.37 (69.37) JP Morgan Page 13 of 17 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-0004
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C. @ 64.2913 128.58 BROKERAGE 0.06 PULSE TRADING LLC (ID: 89417E-10-9) THE TRAVELERS COMPANIES INC. @ 64.8802 129.76 BROKERAGE 0.06 CREDIT SUISSE FIRST BOSTON LLC EFTA01572481 (ID: 89417E-10-9) THE TRAVELERS COMPANIES INC. @ 64.6443 129.29 BROKERAGE 0.06 DEUTSCHE BANC ALEX BROWN INC (ID: 89417E-10-9) THE
379.89 BROKERAGE 0.93 TAX &/OR SEC .01 WILLIAM BLAIR & COMPANY LLC (ID: 712704-10-5) PHILLIPS 66 @ 29.3905 852.32 BROKERAGE 0.58 TAX &/OR SEC .02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 718546-10-4) PEOPLE'S UNITED FINANCIAL INC @ 12.23 220.14 BROKERAGE 0.54 TAX &/OR SEC .01 MORGAN STANLEY & CO. INCORPORATED (ID: 712704-10-5
2 mentions1 same-page
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ADING LLC (ID: 89417E-10-9) 2.000 64.32 (128.64) 5/3 5/8 Purchase THE TRAVELERS COMPANIES INC. 0 64.8802 129.76 BROKERAGE 0.06 CREDIT SUISSE FIRST BOSTON LLC (ID: 89417E-10-9) 2.000 64.91 (129.82) 5/3 5/8 Purchase THE TRAVELERS COMPANIES INC. @ 64.6443 129.29 BROKERAGE 0.06 DEUTSCHE BANC ALEX BROW
D: 712704-10-5) (31.000) 12.224 378.95 (375.99) 2.96 S 5/8 5/11 Sale High Cost PHILLIPS 66 @ 29.3905 852.32 BROKERAGE 0.58 TAX &OR SEC .02 MERRILL LYNCH PIERCE FENNER & SMIT (ID: 718546-104) (29.000) 29.37 851.72 (898.20) (46.48) S 5/8 5/11 Sale High Cost PEOPLES UNITED FINANCIAL INC @ 12.23 220.14 BROKERAGE 0
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Mutual Connections (36)
Entities connected to both FIRST BOSTON LLC and MERRILL LYNCH PIERCE FENNER & SMIT
Ghislaine Maxwell
PERSON41 w/ FIRST·14 w/ MERRILL
Julie K. Brown
PERSON36 w/ FIRST·5 w/ MERRILL
the Internal Revenue Service
ORGANIZATION22 w/ FIRST·4 w/ MERRILL
Nassau
LOCATION21 w/ FIRST·4 w/ MERRILL
JPMorgan Chase
ORGANIZATION21 w/ FIRST·4 w/ MERRILL
JB
Jason Bell
PERSON16 w/ FIRST·4 w/ MERRILL
Deutsche Bank
ORGANIZATION18 w/ FIRST·2 w/ MERRILL
JOHNSON & JOHNSON
ORGANIZATION15 w/ FIRST·3 w/ MERRILL
GOLDMAN SACHS & CO.
ORGANIZATION13 w/ FIRST·5 w/ MERRILL
LIQUIDNET INC
ORGANIZATION13 w/ FIRST·4 w/ MERRILL
GENERAL MILLS INC
ORGANIZATION11 w/ FIRST·3 w/ MERRILL
PEPSICO INC
ORGANIZATION10 w/ FIRST·4 w/ MERRILL
Paul Morris
PERSON11 w/ FIRST·3 w/ MERRILL
JEFFERIES & COMPANY
ORGANIZATION9 w/ FIRST·3 w/ MERRILL
MORGAN STANLEY & CO.
ORGANIZATION9 w/ FIRST·2 w/ MERRILL
ABBOTT LABORATORIES
ORGANIZATION9 w/ FIRST·2 w/ MERRILL
CHEVRON CORP
ORGANIZATION6 w/ FIRST·4 w/ MERRILL
Newark
LOCATION7 w/ FIRST·3 w/ MERRILL
Securities Investor Protection Corporation
ORGANIZATION7 w/ FIRST·3 w/ MERRILL
INTEL CORP
ORGANIZATION6 w/ FIRST·3 w/ MERRILL