Lee Hyman Rosenthal

What was filed

340
investments
6
positions
0
gifts
0
agreements
0
debts
11
reimbursements
0
income
0
spouse income

Named parties

THE RAND INSTITUTE FOR CIVIL JUSTICE (RESIGNED IN 2016)
RICE UNIVERSITY
CENTER FOR AMERICAN AND INTERNATIONAL LAW (RESIGNED IN 2016)
INSTITUTE FOR THE ADVANCEMENT OF THE AMERICAN LEGAL SYSTEM (RESIGNED IN 2016)
AMERICAN LAW INSTITUTE
BAYLOR COLLEGE OF MEDICINE
COLLEGE
TAALS
LAW INITIATIVE i
NATIONAL CONFERENCE OF BAR EXAMINERS
TRIAL LAWYERS

As filed

Bexar Cty, TX GO 5.25% due 6/15/23 — Interest — Redeemed

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

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

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

Denton, TX ISD 0.00% due 8/15/23 — None — Redeemed

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

Goodyear AZ P1 6.0% due 7/1/31 — None — Buy

Grand Prairie. TX ISD 0.00% due 8/15/13 — None

Grapevine-Colleyville ISD 0.00% due R/I15723 — None

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

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

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

Leander. TX ISD 0.00% due 8/15/20 — None

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

Leander, TX ISD 0.008 due 8/15/23 — None — Redeemed

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

MA StHIth & Ed 5.25% due 7/1/23 — None — Buy

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

Northwest. TX ISD 5.00% due 2/15/16 — Interest — Matured

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

Schertz-Cibolo-Unvl City, TX 0.00% due 2124 — None — Redeemed

Schertz-Cibolo-Unvl City, TX 0.00% due 2128 — None — Redeemed

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

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

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

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

JPM Chase - Checking — None

HSA Bank — Interest

Ally Bank — Interest

American Express Bank, FSB — Interest

AIF V Private Investors LLC (1) — None — Buy (add'l)

AIF V Private Investors LLC (1) — 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)

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

APAX Europe VII Private Investors, LLC mn — Sold (part)

APAX Europe VII Private Investors, LLC mn — (part)

APAX Europe VII Private Investors, LLC mn — Sold (part)

Atlantic Trust Company, N.A — Int/Div

Barclays Bank — Interest

BRKB-Common — None — Sold (part)

BRKB-Common — Buy (add'l)

Black Stone Minerals. LP common units — istmbution

Black Stone Minerals. LP sub units — Distribution

Arrowhead Research Corp. (9) — None

Brand Group Holdings, Inc. «Common — None — Buy (add'l)

Carlyle Asia Parmers 11 (1) — None — Sold (part)

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

CAP IV Private Investors, LLC (1) — None — Sold (part)

CAP IV Private Investors, LLC (1) — Buy (add'l)

CAP IV Private Investors, LLC (1) — (part)

CAP IV Private Investors, LLC (1) — Buy (add'l)

Carlyle Japan International Partners 11, L.P on — None — Sold (part)

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

CIT Bank — Interest

CHP I Limited, LP. (1) — None — Sold (part)

CHP I Limited, LP. (1) — Sold (part)

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

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

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

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

DE (1) — None — Sold (part)

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

Consumer Staples Select Sector SPDR-ETF — Int/Div

Continuum Energy — None — Sold (part)

CVEO-Common — None

Discover Bank — Interest

Emerald Marina Bay (1) — None

Emerald Cambridge (1) — None

Emerald Marina Cove (1) — None

Emerald Marina Shores (1) — None

Encino Energy, LLC (1) — None — Buy (add'l)

Energy Capital Investors Fund, LLC (1) — None

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

FDC Group McKinney, Ltd. (1) — None — Sold (part)

FDC Group McKinney, Ltd. (1) — Sold (part)

FDC Group Crawford, Ltd. (1) — None — Buy (add'l)

FDC Group Dunlavy, Lid. (1) — None

FDC Group Wilcrest, Ltd. (1) — None — Sold (part)

FDC Group Wilcrest, Ltd. (1) — Sold (part)

FDC Group Yorktown, Ltd. (1) — None

FDC Group Waugh, Ltd. (1) — None — Sold (part)

FDC Group Waugh, Ltd. (1) — Sold (part)

FPA Crescent-Mutual Fund — None — Sold

Finger-Roxboro, Lid. (1) — None — Sold (part)

Finger-Roxboro, Lid. (1) — Sold (part)

Finger-VOTL, Ltd. (1) — None — Sold (part)

Finger-VOTL, Ltd. (1) — Sold (part)

Goldman Sachs Bank (includes former listing of GE Capital Bank) — Interest

Me Kellett (1) — None — Sold (part)

Me Kellett (1) — Sold (part)

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

Me Kellett 11 (1) — Sold (part)

GE Capital Bank (now included in Goldman Sachs Bank)

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

Great Northern Midstream. LLC (1) — Sold (part)

Hawkins Investment Partnership (1) — None — Distnbuted

Ishares Core High Dividend-ETF — Int/Div

pm Inc. (1) — None — Buy (add'l)

pm Inc. (1) — Buy (add'l)

HMTF Fund IV (1) — None — Sold (part)

HydroEx Acquistion, LLC - Note Receivable — Interest

Ishares Global Energy-ETF — Int/Div — Sold (part)

shares US Consumer Goods-ETF — Int/Div — Sold (part)

JP Morgan Chase Investment Account Cash — Int/Div

KKR 2006 Private Investors, LLC (1 Ka) — None — Buy (add'l)

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

KMI-Common — Int/Div — Buy (add'l)

KMI-Common — Buy (add'l)

Memill Lynch (CMA) — Interest

NITYA < BCH Investors LLC (1) — None — Buy

Oaktree Capital Group LLC — Distribution

OIS Restricted Stock (7) — None

OIS-Common (7) — None — Buy (add'l)

OIS-Common (7) — Sold (part)

Pearl Midtown, LLC (1) — None — Sold (part)

Pearl Midtown, LLC (1) — Sold (part)

Pearl CityCenter, LLC (1) — None

Pearl Midtown Residences. Lid (1) — None — Buy

Platform Partners, LLC (1) — None — Sold (part)

RDS/B-ADR — Int/Div — Buy (add'l)

SCF-V.L.P.(1) — None — Buy (add'l)

SCF-V.L.P.(1) — Buy (add'l)

SCF-V.L.P.(1) — Sold (part)

SCF-VLLP.(1) — None — Buy (add'l)

SCF-VLLP.(1) — Buy (add'l)

SCF-VLLP.(1) — Sold (part)

SCF-VLLP.(1) — Buy (add'l)

SCF-VLLP.(1) — Sold (part)

SCF-VILL.P.(1) — None — Buy (add'l)

SCF-VILL.P.(1) — Buy (add'l)

SCF-VILL.P.(1) — Sold (part)

SCF-VIl(a). L.P.(1) — None — Buy

SCF-VIl(a). L.P.(1) — Buy (add'l)

SCF-VIKAIV)YL LP. (1) — None — Buy (add'l)

SCF-VIILLP(1) — None — Buy (add'l)

SCF-VIILLP(1) — Buy (add'l)

SCF-VIIKAIV)L, LP. (1) — None — Buy (add'l)

SIKI-Common — None

SRE Properties, LP (1) — None — Sold (part)

SRE Properties, LP (1) — Sold (part)

Surefire Social-Convertible Pid — None

Synchrony Bank — Interest

mm LP (]) — None — Sold (part)

1) 209. EEE — None — Sold (part)

1) — None

DE (1) — None — Buy (add'l)

DE (1) — Sold (part)

DE (1) — None — Buy (add'l)

DE (1) — Sold (part)

EEE LLP) — None — Sold (part)

EEE LLP) — None — Buy (add'l)

EEE LLP) — Sold (part)

pm GP LP (1) — None — Buy (add'l)

pm GP LP (1) — Sold (part)

vm IVGPLP(1) — None — Buy

vm IVGPLP(1) — Sold (part)

IV LLC (1) . — None — Buy

IV LLC (1) . — Sold (part)

EEE IV, LP) — None — Buy

EEE IV, LP) — Sold (part)

EEE WV, LPC) — None — Buy

EEE WV, LPC) — Sold (part)

alpha sort) 11)

American Bath — None — Sold (part)

Construction Supply — None — Buy

CST Industries — None

DexKo — None

Industrial Services — None — Buy

Highline — None — Buy

Liqui-Box — None — Sold (part)

Lynx FBO — None — Buy

Lynx FBO — Buy (add'l)

Panolam (one additional payment) — None — Sold

Process Barron — None

SafeFleet — None

Saxco — None

Specified Air Solutions — None — Buy (add'l)

Stackpole (one addimonal payment) — None — Sold

Universal Fibers — None — Sold (part)

401k): FA Stable Value — Int/Div

JP Morgan Chase-Checking — None

JP Morgan Chase-Checking-S — None

TROW--Common — Int/Div

Vac One (9) — None — Buy (add'l)

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

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

Vanguard Large Cap Index Fund Adm — Int/Div

Vanguard Large Cap ETF — None — Sold

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

Vanguard 500 Index-Mutual Fund — Int/Div — Buy

Vanguard 500 Index-Mutual Fund — Buy (add'l)

bid] — Buy (add'l)

Vanguard Federal MIM — Int/Div — Open

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

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

Xapp Media (9) — None

Zine Oxide (1) — None

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)

WestCam, LP.(1) — None

MP GEO. LLC(1) — None

Midland Basin GEO. LLC (1) — None

Gamma Geo (1) — None — Sold (part)

Gamma Geo (1) — Sold (part)

Gamma Geo (1) — (part)

Flex Waz(l) — None — Sold (part)

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

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

IRA #1

US Treasury Strips 0.0% due 2/15/2016 — None — Matured

Memll Lynch Cash — Interest

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

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

Vanguard S00 Index Fund — Int/Div

Vanguard S&P 500 Index ETF — Int/Div

Vanguard Federal Money Market Fund — Int/Div — Open

IRA #2

Memill Lynch Cash — Interest

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

FPA Crescent - Mutual Fund — None — Sold (part)

FPA Crescent - Mutual Fund — Sold

Goldman Sachs Bank — Interest

Goldman Sachs Liberty Harbor (1) — None — Sold (part)

IShares Core High Dividend - E11 — Int/Div

KM! - Common Stock — Int/Div

Oaktree - Units — Distribution — Buy (add'l)

RDSB - ADR — Int/Div — Buy (add'l)

SIKI « Common Stock — None

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

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

Vanguard 500 Index Fund — Int/Div

Vanguard S&P 500 Index ETF — Int/Div

Vanguard Federal Money Market Fund — Interest — Open

42 Trust (RS)

Memill Lynch Reserves — Interest

IShares 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 — Open

Certain Limited Partners 2/54

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

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

43 Trust (HS)

Memill Lynch Reserves — Interest

Consumer Staples Select Sector SPDR ETF — Int/Div

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

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

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

Vanguard Federal MM Fund — Int/Div — Open

MEMBER. BOARD OF OVERSEERS, THE RAND INSTITUTE FOR CIVIL JUSTICE (RESIGNED IN 2016)

MEMBER, BOARD OF TRUSTEES, RICE UNIVERSITY

MEMBER. BOARD OF TRUSTEES, CENTER FOR AMERICAN AND INTERNATIONAL LAW (RESIGNED IN 2016)

MEMBER, ADVISORY BOARD, INSTITUTE FOR THE ADVANCEMENT OF THE AMERICAN LEGAL SYSTEM (RESIGNED IN 2016)

MEMBER, EXECUTIVE COMMITTEE, COUNCIL, AMERICAN LAW INSTITUTE

MEMBER. BOARD OF TRUSTEES, BAYLOR COLLEGE OF MEDICINE

Reimbursement — AMERICAN LAW INSTITUTE — JANUARY 20-22, 2016 — PHILADELPHIA. PA — ATTEND COUNCIL MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — COLLEGE — 2016 — NATIONAL ANNUAL LAW MOOT COULRT

Reimbursement — TAALS — W016 — JUSTICE REFORM SUMMIT — TRANSPORTATION AND AIRFARE

Reimbursement — LAW INITIATIVE i — OF LAW INITIATIVE EGYPT CASE MGMT — TRANSPORTATION, AIRFARE AND SHIPPING

Reimbursement — NATIONAL CONFERENCE OF BAR EXAMINERS — MAY 19.22. 2016 — SAN FRANCISCO. CA — BAR EXAMINERS MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — CONFLICT OF LAW ADVISERS MEETING

Reimbursement — TRIAL LAWYERS — 016 2 — EXCHANGE — TRANSPORTATION, TRAIN AIRFARE AND MISC,

Reimbursement — TRIAL LAWYERS — 2016 — EXCHANGE — TRANSPORTATION, AIRFARE AND MISC

Reimbursement — AMERICAN LAW INSTITUTE — OCTOBER 18-21. 2016 — NEW YORK. NY — ALI OCTOBER COUNCIL MEETING — LODGING. MEALS AND AIRFARE

Reimbursement — W016 — MEETING — AV FREES, TRANSPORTATION AND AIRFARE

Reimbursement — NATIONAL CONFERENCE OF BAR EXAMINERS — DECEMBER 8-11 2016 — PHOENIX, AZ — BAR EXAMINERS MEETINGS — LODGING, MEALS, TRANSPORTATION AND AIRFARE

1) Private entities including private company investment partmerships. 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 gain is 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),

(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. Interest 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 ut purchase is assumed to be fully amortized for purposes of calculating gain or loss on sale, redemption or maturity on regular interest paying bonds, and

such amortization does not affect mterest 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(I). On maturity of zero coupon bonds, total accreted interest is included in Value Column D3). On maturity, redemption, or sale of zero

coupon bonds, Value Column IX(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 sales 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/interest paid for year und 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 (DD) with the date und 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 company aggregate values for the direct ownership of each entity as well as indirectly through other | group entities are shown mn

Column C(2). Column D(3) reflects cash paid or received for each SI Company. Income and gain is included (to the extent distributed) in

this value.