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U-2 CHF PUT USD CALL FX EUROPEAN STYLE OPTION NOV 08, 2002 8 1.63 XCHFPA-BP-2 CHF PUT USD CALL FX EUROPEAN STYLE OPTION AUG 08, 2002 8 1.6275 XCHFPA-BQ-2 SEK CALL USD PUT FX EUROPEAN STYLE OPTION AUG 12, 2002 8 10.05 XSEKCA-AO-2 NOK PUT USD CALL FX EUROPEAN STYLE OPTION NOV 14, 2002 8 8.6
YLE OPTION DEC 11, 2002 @ .5675 KNOCK OUT @ .5785 CHF PUT USD CALL FX EUROPEAN STYLE OPTION JUN 13, 2002 @ 1.57 CAD PUT USD CALL Jun 14 Jun 14 Expired Opt FX EUROPEAN STYLE OPTION DEC 16, 2002 @ 1.55 KNOCK OUT @ 1.5285 GBP PUT USD CALL FX EUROPEAN STYLE OPTION OCT 31, 2002 @ 1.4625 KNOCK OUT @ 1.
I-2 CHF PUT USD CALL FX EUROPEAN STYLE OPTION NOV 08, 2002 @ 1.63 XCHFPA-BP-2 CHF PUT USD CALL FX EUROPEAN STYLE OPTION AUG 08, 2002 @ 1.6275 XCHFPA-BQ-2 SEK CALL USD PUT FX EUROPEAN STYLE OPTION AUG 12, 2002 @ 10.05 XSEKCA-AO-2 NOK PUT USD CALL FX EUROPEAN STYLE OPTION NOV 14, 2002 @ 8.6
s on sales with missing or incomplete tax cost are identified with N/A. Trade Activity by Type Settlement Date Trade Date Settled May 17May 17 Expired Opt NOK PUT USD CALL FX EUROPEAN STYLE OPTION OCT 31, 2002 @ 8.41 KNOCK OUT @ 8.25 Issued in USD May 28May 30 Purchase Opt AUD CALL USD PUT May 28
ortfolio May 01, 2003 - May 31, 2003 Page 10 of 41 Foreign Exchange Description CHF PUT USD CALL FX EUROPEAN STYLE OPTION OCT 06, 2003 9 1.42 XCHFPA-DN-2 EUR PUT USD CALL FX EUROPEAN STYLE OPTION OCT 06, 2003 9 1.04 XEURPA-HZ-Z GBP CALL USD PUT FX EUROPEAN STYLE OPTION DEC 11, 2003 9 1.575
rite Option NZD PUT USD CALL May 8 May 12 Buy-Back Opt FX EUROPEAN STYLE OPTION NOV 06, 2003 @ .56 KNOCK IN @ .53 EUR CALL GBP PUT May 8 May 8 Expired Opt FX EUROPEAN STYLE OPTION JAN 15, 2004 @ .69 KNOCK OUT @ .6750 NOK PUT USD CALL FX EUROPEAN STYLE OPTION NOV 03, 2003 @ 7.05 KNOCK IN @ 7.15 K
Page 13 of 72 Foreign Exchange Description P CHF PUT USD CALL FX EUROPEAN STYLE OPTION SEP 30, 2004 @ 1.27 KNOCK IN @ 1.29 KNOCK OUT @ 1.2360 XCHFPA-DR-2 P CHF CALL USD PUT FX EUROPEAN STYLE OPTION OCT 29, 2004 @ 1.26 KNOCK OUT @ 1.23 KNOCK OUT @ 1.31 BARRIER EXP 7/14/04 XCHFCA-DP-2 HKD PUT
SIGNED FX OPTION SELL NZD BUY USD Jun 14 Jun 16 Buy-Back Opt GBP CALL USD PUT Jun 15 Jun 17 Buy-Back Opt Jun 15 Jun 15 Expired Opt Jun 15 Jun 15 Expired Opt FX EUROPEAN STYLE OPTION JUN 15, 2004 @ 1.835 AUD CALL USD PUT FX EUROPEAN STYLE OPTION JUN 16, 2004 @ .6975 EUR CALL USD PUT FX EUROPEAN STYL
Entities connected to both XCHFPA and Expired Opt
Moody's Rating
ORGANIZATIONJ.P. Morgan Portfolios
ORGANIZATION
Jeffrey Epstein
PERSON
JPMorgan Chase
ORGANIZATION
the Internal Revenue Service
ORGANIZATIONOptions
ORGANIZATIONJPMSI Compliance Department
ORGANIZATIONthe JPMorgan Federal Money Market Fund
ORGANIZATIONThe American Century Funds
ORGANIZATIONFunds Distributor, Inc.
ORGANIZATION
Newark
LOCATIONAmerican Century Funds
ORGANIZATIONthe Securities and Exchange Commission
ORGANIZATIONSecurities Investor Protection Corporation
ORGANIZATIONPurchase Opt
ORGANIZATION
Financial Trust Company
ORGANIZATIONAmerican Century Investment Management
ORGANIZATION
Condoleezza Rice
PERSONSIPCcoverage
LOCATIONMXN PUT USD
ORGANIZATION