Lee Hyman Rosenthal

What was filed

308
investments
2
positions
0
gifts
0
agreements
0
debts
4
reimbursements
0
income
0
spouse income

Named parties

to beneficiary
AMERICAN LAW INSTITUTE
BAYLOR COLLEGE OF MEDICINE
BAR EXAMINERS

As filed

Saxco

Boise-Kuna, IA 6.3% due 6/1/2031 — Interest — Buy

Brazos Cry, TX 5.00" due 9/1/25 — Interest

Chicago Brd Ed 0.00% due 12/1/19 — None — Sold

Clark Coty, NV Sch Dist Ltd, 5.0% due 6152026 — Interest — Buy

Clark Coty, NV Sch Dist Ltd, 5.0% due 6152026 — Sold

College Station ISD 4.625% due 9/15/20 — Interest — Sold

District Columbia 5.00% due 6/1/17 — Interest — Sold

Goodyear AZ Pl 6.0% due 7/1/31 — Interest

Grand Prairie. TX ISD 0.00% due 8/15/33 — None

Grapevine-Colleyville ISD 0.00% due R153 — None

Harris Cry, TX, 5.00% due 10/1/19 — Interest

Hans Cry, TX, 5.75% due 10/1/20 — Interest

Houston, TX Pub Impt 5.00% due 3/1/20 — Interest

LA St Ctzns Ppty Ins Corp 6.75% due 612026 — Interest — Buy

Leander, TX ISD 0.00" due 8/15/20 — None — Sold (part)

Leander, TX ISD 0.00" due 8/15/20 — Sold

Leander, TX ISD 0.00% due 8/15/21 — None

Lewisville, TX ISD 0.00% due 8/15/21 — None

MA St Hlth & Ed 5.25% due 7/1/23 — Interest

MA St Rans-Ser C 2.0% due 6/25/2018 — None — Buy

Mesquite, TX ISD 0.00% due 8/15/32 — None — Sold

Richmond Co, GA Dev 6.375% due 12/0121 — None

Snohomish Cty, WA 5.25% due 12/1/24 — Interest

Stof Ninos S.00% due 6/1/22 — Interest

Stof Washington BO 0.00% due 12/01/21 — None

Texarkana, TX ISD 0.00% due 2/15/26 — None — Sold

Texas St Trans, 4.0" due 8/30/20 — None — Buy

University TX Univ 5.25% due 7/1/21 — Interest

Wylie, TX ISD 0.00% due 8/15/19 — None — Sold

Wylie, TX ISD 0.00% due 8/15/23 — None — Sold

JPM Chase - Checking — None

HSA Bank — Interest

Ally Bank — Interest

American Express Bank, FSB — Interest

AIF V Private Investors LLC (1) — None — Sold (part)

AIF VI Private Investors LLC (1) — None — Sold (part)

AIF VI Private Investors LLC (1) — Sold (part)

AIF VII Private Investors LLC (1) — None — Sold (part)

AIF VII Private Investors LLC (1) — Sold (part)

AIF VII Private Investors LLC (1) — Buy (add'l)

AIF VII Private Investors LLC (1) — Sold (part)

APAX Europe VII Private Investors, LLC mn — None — Sold (part)

Atlantic Trust Company, N.A — Int/Div

Barclays Bank — Interest

BRKB-Common — None

Black Stone Minerals. LP common units — istnbution

Black Stone Minerals. LP sub units — Distribution

Arrowhead Research Corp. (9)Y — None

Brand Group Holdings, Inc.-Common — None

Carlyle Asia Partmers 11 (1) — None — (part)

Carlyle Asia Partmers 11 (1) — Sold (part)

CAPIV Private Investors, LLC (1) — None — Sold (part)

CAPIV Private Investors, LLC (1) — Sold (part)

Carlyle Japan International Partners 11, L.P (Ia) — None — Buy (add'l)

Carlyle Japan International Partners 11, L.P (Ia) — Buy (add'l)

Carlyle Japan International Partners 11, L.P (Ia) — Sold (part)

Carlyle Japan International Partners 11, L.P (Ia) — Buy (add'l)

CIT Bank — Interest

CJIP II Limited, LP. (1)a) — None

CD&R Fund VII Private Investors, LLC (1) — None — Sold (part)

CD&R Fund VII Private Investors, LLC (1) — Sold (part)

CD&R Fund 1X Private Investors. LLC (1) — None — Buy (add'l)

CD&R Fund 1X Private Investors. LLC (1) — Buy (add'l)

Consumer Staples Select Sector SPDR-ETF — Int/Div — Buy (add'l)

Continuum Energy — None — Sold (part)

mm -Common — None

Discover Bank — Interest

Emerald Manna Bay (1) — None

Emerald Cambridge (1)Y — None

Emerald Marina Cove (1)Y — None

Emerald Marina Shores (1)Y — None

Encino Energy, LLC (1)(a) — None

Energy Capital Investors Fund, LLC (1) — None — Sold (part)

Family Alignment: FA YPS LLC (1) — None — Buy (add'l)

Family Alignment: FA SPR LLC (1) — None — Buy

FDC Group McKinney, Ltd. (1412) — Rent

FDC Group Crawford, Ltd. (1) — None

FDC Group Dunlavy, Ltd. (1) — None

FDC Group Wilcrest, Ltd. (1)(12) — Reat

FDC Group Yorktown, Ltd. (1) — None

FDC Group Waugh, Ltd. (1)(12) — Rent

Finger-Roxboro, Ltd. (112) — Rent

Finger-VOTL, Ltd. (1¥12) — Rent

Goldman Sachs Bank — Interest

Mt Kellett (1) — None — Sold (part)

Mt Kellett (1) — Sold (part)

Mt Kellett 11 (1) — None — Sold (part)

Mt Kellett 11 (1) — Sold (part)

GHR Healthcare. LLC — None — Buy

Great Northern Midstream, LLC (1) — None — Sold (part)

Ishares Core High Dividend-E1v — Int/Div

DEE Inc. (1) — None — Buy (add'l)

DEE Inc. (1) — Buy (add'l)

HMTF Fund IV (1) — None — Distnibuted

HydroEx Acquistion, LLC - Note Receivable — Interest

Ishares Global Energy-E TF — Int/Div

Ishares US Consumer Goods-ETF — Int/Div

JP Morgan Chase Investment Account Cash — Int/Div

KKR 2006 Private Investors, LLC (1 Ka) — None — Sold (part)

KKR 2006 Private Investors, LLC (1 Ka) — Sold (part)

KKR 2006 Private Investors, LLC (1 Ka) — Buy (add'l)

KKR 2006 Private Investors, LLC (1 Ka) — Sold (part)

KKR Americas X11 Private Investors (1) — None — Buy

KMI-Common — Int/Div — Buy (add'l)

KMI-Common — Buy (add'l)

Mermill Lynch (CMA) — Interest

Milton Meisler Holdings LLC — None — Buy

NITYA - BCH Investors LLC (1412) — Rent

NITYA - Legacy at Westchase Investors, LLC (INI) — Rent — Buy

NITYA - D2 Properties, LLC (1)(12) — Rent — Buy

NITYA - Sierra Park Investors. LLC (1X12) — Rent — Buy

Oaktree Capital Group LLC — Distribution

mm Restricted Stock (7) — None

mm -Common (7) — None — Buy (add'l)

MGI Pearl Midtown, LLC (1X12) (renamed for easier tracking) — Rent

MGI Pearl CityCenter, LLC (1) (renamed for easier tracking) — None

MGI Pearl Midtown Residences, Ltd (1) (renamed for easier tracking) — None

Platform Partners, LLC (1) — None — Buy (add'l)

RDS/B-ADR — Int/Div

SCF-V.L.P.(1) — None — Buy (add'l)

SCF-V.L.P.(1) — Buy (add'l)

SCF-VLLP.(1) — None — Buy (add'l)

SCF-VLLP.(1) — Buy (add'l)

SCF-VILL.P.(1) — None — Buy (add'l)

SCF-VILL.P.(1) — Buy (add'l)

SCF-VIl{a), LP. (1) — None — Buy (add'l)

SCF-VIl{a), LP. (1) — Buy (add'l)

SCF-VILAIV)LL.P.(1) — None

SCF-VIILLP() — None — Sold (part)

SCF-VIILLP() — Buy (add'l)

SCF-VIIKAIV), LP. (1) — None

SIKI1-Common — None

SRE Properties, LP (1)(12) — Rent

Surefire Social-Convertible Pfd — None — Buy (add'l)

Synchrony Bank — Interest

DE. LP (1) — None — Sold (part)

EEE LLC (]) — None — Buy (add'l)

EEE LLC (]) — Sold (part)

I LLC (1) — None — Distributed

I LLC (1) — None — Sold (part)

I LLC (1) — None — Buy (add'l)

I LLC (1) — Sold (part)

I LLC (1) — None — Sold (part)

I LLC (1) — None — Buy (add'l)

I LLC (1) — Sold (part)

I HGP LP(]) — None — Buy (add'l)

I HGP LP(]) — Sold (part)

EV GP, LP (1) — None — Buy (add'l)

EV GP, LP (1) — Sold (part)

PEE V LLC (1) — None — Buy (add'l)

PEE V LLC (1) — Sold (part)

DE IV. LP (]) — None — Buy (add'l)

DE IV. LP (]) — Sold (part)

EE IV, LP) — None — Buy (add'l)

EE IV, LP) — Sold (part)

EE IV, LP) — None — Buy

alpha sort) (11)

American Bath — Sold

Construction Supply — Buy (add'l)

mm Industries — Sold

DexKo — put)

DexKo — Buy (add'l)

Industrial Services

Highline — Buy (add'l)

Liqui-Box — Sold

Lynx FBO

Process Barron

SafeFleet

Specified Air Solutions — Buy (add'l)

Time Manufacturing — Buy

Universal Fibers — Sold

I 401k): FA Stable Value — Int/Div

JP Morgan Chase-Checking — None

JP Morgan Chase-Checking-S — None

TROW--Common — None — Sold

Vac One (1 Ka) — None — Buy (add'l)

Vanguard Municipal Money Market (formerly Tax-Exempt M/M-Mutual Fund — Int/Div

Vanguard Large Cap Index Fund Adm — Int/Div

Vanguard Tax-Managed Cap Apprec: Mutual Fund — None — Buy (add'l)

Vanguard S00 Index-Mutual Fund — Int/Div — Buy (add'l)

Vanguard S00 Index-Mutual Fund — Buy (add'l)

Vanguard S&P SO0-ETF — None — Buy

Vanguard S&P SO0-ETF — Sold

Vanguard Federal MIM — Int/Div

Vanguard Information Technology Index Admiral Fund — Int/Div — Buy

Vanguard Information Technology Index Admiral Fund — Buy (add'l)

Vanguard Total Stock Market Index Admiral Fund — Int/Div — Buy

Vanguard Total Stock Market Index Admiral Fund — Buy (add'l)

WLR Recovery IV Investors, LLC (1) — None — Sold (part)

WLR Recovery IV Investors, LLC (1) — Sold (part)

Xapp Media (9) — None

Zinc Oxide-SeriesA (1) — None — Buy

Zmc Oxide (1) — None — with line 242)

Certain LLC 1/18 (1) — None

Certain Limited Partners 1/39(1) — None

Certain Limited Partners 2/54

Elhott Associates, LP. (1) — None — Buy (add'l)

Elhott Associates, LP. (1) — Buy (add'l)

West Cam. LP. (1) — None

MP GEO, LLC (1) — None — (part)

MP GEO, LLC (1) — Sold (part)

MP GEO, LLC (1) — Buy (add'l)

Midland Basin GEO. LLC (1) — None

Gamma Geo (1) — None — Sold (part)

Gamma Geo (1) — Sold (part)

Flex Waz(l) — None — Sold (part)

Flex Waz(l) — Sold (part)

Certain LLC 2/54 (1% owner m 2/S4LP)Y (1) — None — Buy (add'l)

Certain LLC 2/54 (1% owner m 2/S4LP)Y (1) — Buy (add'l)

IRA #)

Memill Lynch Cash — None — Closed

Vanguard Admiral Fund Treasury M/M Mutual Fund — Int/Div

Vanguard Prime M/M - Mutual Fund — Int/Div

Vanguard 500 Index Fund — Int/Div

Vanguard S&P 500 Index ETF — Int/Div

Vanguard Federal Money Market Fund — Int/Div

IRA #2

Merrill Lynch Cash — Interest

US Treas 2.375% due 1/15/17 — Interest — Matured

Goldman Sachs Bank — Interest

Goldman Sachs Liberty Harbor (1) — None

Shares Core High Dividend - ETF — Int/Div

KM! « Common Stock — Int/Div

Oaktree - Lnits — Distribution

RDSB - ADR — Int/Div

RDS/A <- ADR — None — from line 283)

SIKI « Common Stock — None

Vanguard Admiral Fund Treasury MIM Mutual Fund — Int/Div

Vanguard S00 Index Fund — Int/Div — Buy (add'l)

Vanguard S&P 500 Index ETF — Int/Div

Vanguard Information Technology Index Fund — None — Buy

Vanguard Information Technology Index Fund — Sold

Vanguard Federal Money Market Fund — Interest

42 Trust (RS)

Memill Lynch Reserves — Interest

Shares US Consumer Goods « ETF — Int/Div

Vanguard Tax-Managed Capital Appreciation - Mutual Fund — Int/Div

Vanguard Admiral Fund Treasury - Mutual Fund — Int/Div

Vanguard Tax-Exempt M/M « Mutual Fund — Int/Div

Vanguard Federal M/M Fund — Int/Div

Certain Limited Partners 2/54

Eliott Associates, LP. (1) — None — Buy (add'l)

Eliott Associates, LP. (1) — Buy (add'l)

3 Trust (HS)

Mermill Lynch Reserves — Interest — Distnibuted — to beneficiary

Consumer Staples Select Sector SPDR ETF — Int/Div — Distnbuted — to beneficiary

Vanguard Tax-Managed Capital Appreciation - Mutual Fund — Int/Div — Distnbuted — to beneficiary

Vanguard Admiral Fund Treasury M/M Mutual Fund — Int/Div — Distributed — to beneficiary

Vanguard Tax-Exempt M/M - Mutual Fund — Int/Div — Distnibuted — to beneficiary

Vanguard Federal MM Fund — Int/Div — Distnbuted — to beneficiary

MEMBER, EXECUTIVE COMMITTEE, COUNCIL, AMERICAN LAW INSTITUTE

MEMBER. BOARD OF TRUSTEES, BAYLOR COLLEGE OF MEDICINE

Reimbursement — AMERICAN LAW INSTITUTE — JANUARY 18-20, 2017 — PHILADELPHIA. PA — ATTEND ALI COUNCIL MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — AMERICAN LAW INSTITUTE — OCTOBER 18-20, 2017 — NEW YORK. NY — ALI OCTOBER COUNCIL MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — CONFLICT OF LAW ADVISERS MEETING

Reimbursement — BAR EXAMINERS — 2017 — CONFERENCE OF BAR EXAMINERS — TRANSPORTATION AND AIRFARE

1) Private entities including private company investment partnerships. For private entities, valuation is based on net book value. For such entities, valuation

(Column C(2)) is based on capital account as set forth on form K-1 and income and gan

s included (to the extent distributed) in cash paid or received (as

described below) under Column D{3) and not in Column B and/or Column D{4). The JEN values in Column D(2) are listed as of year-end

notwithstanding when distribution was made.

(a) In connection with Footnote (1) private company investment partnerships, in absence of receipt of K-1 by filer by filing date, no information is provided as to

gross value in Column C(2).

(2) Purchase and sale price of regular interest paying bonds excludes accrued interest. Tnterest income on regular interest paying bonds excludes accrued interest

bought or sold. Gain indicated on redeemed bonds represents only the redemption amount {and premium, if any) in excess of principal amount. Bond premium or

discount at purchase is assumed to be fully amortized for purposes of calculating gain or Joss on sale, redemption or maturity on regular interest paying bonds, and

such amortization does not affect interest reported annually.

(3) No interest income is included in Interest Income Column B(1) on zero coupon bonds. Total to date accreted interest for zero coupon bonds is included in

Value Column C(1). On maturity of zero coupon bonds, totul accreted interest is included in Value Column IN3). On maturity, redemption, or sale of zero

coupon bonds, Value Column (3) is the maturity value, redemption price, or sales price and Gain Column D{4) reflects the difference between the maturity

value, redemption price, or sules price and the original cost.

(4) All mutual fund reinvested dividends, interest and capital gains are not separately shown as new purchases, but are included in the end of period (ColumnC(2))

values. All unreinvested distributions from mutual funds (dividends, interest and capital gains) are included in Column B(1). Money market mutual funds set

forth aggregate dividend/mterest paid for year and end of year value only.

(5) Municipal and U.S. Treasury bond values reflected in Value Column C(2) are based on market value.

(6) No transaction value or gain or loss is reported on non-taxable exchanges of one security for another or spin-offs of securities or stock dividends. If publicly

traded, the value as of the date of the transaction when such security is received is reflected in Column C(1) Gross Value. In instances noted in first sentence, any

gain is reported only when the new security is sold.

(7) Restricted stock is not valued during restriction period. After restrictions lapse, restricted stock is reflected as owned shares. A "buy™ transaction is reflected in

Section (D) with the date and value of the vested stock.

(8) Oil and Gas interests - value not known to filer,

(9) Private company — value not known to filer,

(10) Inadvertently omitted in prior year report.

(11) Amounts for each portfolio company aggregate values for the direct ownership of each entity as well as indirectly through other [RR entities

are shown in Column €(2). Column D3) reflects cash paid or received for cach [RN Company. Income and gain is included (to the extent

distributed) in this value.

(12) Represents a limited partnership or LLC investment in a real estate project or projects. All income noted in Column B(1) is effectively net rental income.