EFTA01519469

CHISLAINE 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. Settle Date Type Description Quantity Transaction Market Value • Selection Method Cost Securities Transferred Out 2/26 Free Delivery HARBOR HIGH YIELD BOND-INST TRANSFER TO UBS (2,660.657) (29,453.47) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29,905.78 (ID: 411511-55.3) 2/26 Free Delivery HARBOR CONVERTIBLE SEC-INST TRANSFER TO UBS (Z833.314) (32,101.45) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 29272.00 (ID: 411512-73-4) 2/26 Free Delivery CLEARBRIDGE EQUITY INC FD4 CAP 8 INCOME I (2,339.801) (43,282.92) TRANSFER TO UBS FINANCIAL SERVICES INC. TRADE 41,251.00 DATE 02/25/14 (1D: 52469H-59-4) 2/26 Free Delivery TORTOISE MLP & PIPEUNE-INS TRANSFER TO UBS (2,296.774) (37,598.19) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 30,616.00 (ID: 56168Y-40-4) 2/26 Free Delivery MATTHEWS ASIA DIVIDEND-INS TRANSFER TO UBS (Z638.382) (39,734.03) FINANCIAL SERVICES INC. TRADE DATE 02/25/14 39286.00 (ID: 577130-75-0) 2/26 Free Delivery METROPOLITAN WEST FDS TOTAL RET CL I TRANSFER (7,192.344) (76,886.16) TO UBS FINANCIAL SERVICES INC. TRADE DATE 77,030.00 02/25/14 (ID: 592905-50-9) 2;26 Free Delivery RIDGEWORTH SEIX FLOATING-1 TRANSFER TO UBS (6,502.655) (58,979.08) FINANCIAL SERVICES INC. TRADE DATE 02/25)14 58.784.00 (ID: 76628T-67-8) Total Securities Transferred Out ($874,442.33) J.P.Morgan Account Page 13 of 15 Consolidated Statement Page 62 Confidential Treatment Requested by JPMorgan Chase CONFIDENTIAL JPM-SDNY-00046756 SDNY_GM_003 15954 EFTA01519469