Lee Hyman Rosenthal

What was filed

357
investments
2
positions
0
gifts
0
agreements
0
debts
11
reimbursements
1
income
3
spouse income

Named parties

AMERICAN LAW INSTITUTE
BAYLOR COLLEGE OF MEDICINE
FORDHAM LAW SCHOOL
NATIONAL CONFERENCE OF BAR EXAMINERS
DUKE LAW SCHOOL
INSTITUTE FO THE ADVANCEMENT OF THE AMERICAN LEGAL SYSTEM (IAALS)
IAALS
NATIONAL BOARD OF BAR EXAMINERS, WRITING
.: DIRECTOR'S FEES
: PARTNER DISTRIBUTION
: DIRECTOR'S FEES

As filed

Big Sandy, TX ISD, 5.0% due 02/15/2039 — Interest — Buy

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

Brazos Cty, TX 5.00% due 9/1/25 — Interest — Sold

Butler Cnty, PA Hosp Auth, 7.250% due 07/01/2039 — None — Buy

Dallas, TX Rapid Trnst Sales Tax, 5.250% due 12/01/2043 — Interest — Buy

Dallas, TX Rapid Trnst Sales Tax, 5.250% due 12/01/2043 — Sold

Dauphin Cnty, PA Auth HlthSys, 6.0% due 06/01/2029 — Interest — Buy

Goodyear AZ PI 6.0% due 7/1/31 — Interest — Sold

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

Grapevine-Colleyville ISD 0.00% due 8/15/23 — None

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

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

HBR Point CT Infrastructure, 7.875% due 04/01/39 — Interest — Buy

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

IL St Fin Auth Rev Ref-KISH Health 5.75% due 10/01/2028 — Interest — Buy

IL St Fin Auth Rev Ref-KISH Health 5.75% due 10/01/2028 — Sold

IL Fin Auth Silver Cross Med Ctrs, 7%, due 8/15/2044 — Interest — Buy

IL Fin Auth Silver Cross Med Ctrs, 7%, due 8/15/2044 — Buy (add'l)

IL St Fin Auth Rev Il Rush Univ Med, 6.625% due 11/01/39 — Interest — Buy

KY St Econ Dev Fin Auth, 5.375% due 8/15/2024 — Interest — Buy

KY St Econ Dev Fin Auth, 5.375% due 8/15/2024 — Sold

KY St Econ Dev Fin Auth, 5.625% due 8/15/2027 — Interest — Buy

KY St Econ Dev Fin Auth, 5.625% due 8/15/2027 — Sold

LA St Ctzns Ppty Ins Corp 6.75% due 6/1/2026 — Interest — Sold

La Vernia, TX Hgr Edu Fin, 7.250% due 08/15/2031 — Interest — Buy

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

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

Louisville KY Regl Arpt Auth, 5.5% due 07/01/2038 — Interest — Buy

Louisville KY Regl Arpt Auth, 5.5% due 07/01/2038 — Sold

Lufkin, TX Hlth Facs Dev, Memorial Hlth, 6.25% due 02/15/2037 — Interest — Buy

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

MA St Rans-Ser C 2.0% due 6/25/2018 — Interest — Sold

NJ St Hlth Care Facs, 5.250% due 10/01/2038 — Interest — Buy

NJ St Hlth Care Facs, 5.250% due 10/01/2038 — Sold

NJ St Eductnl Facs Auth Rev, 6.25% due 07/01/2037 — Interest — Buy

OH St Hosp Fac Rev, Cleveland Clinic, 5.5% due 01/01/2039 — Interest — Buy

Orange Cnty Fl Hlth Facs, 5.0% due 12/01/2032 — Interest — Buy

Orange Cnty Fl Hlth Facs, 5.0% due 12/01/2032 — Sold

Richmond Co, GA Dev 6.375% due 12/01/21 — None

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

St of Illinois 5.00% due 6/1/22 — Interest — Sold

St of Washington BO 0.00% due 12/01/21 — None

Suffolk Cnty, NY TRANS, 5.0% due 7/24/2019 — None — Buy

Texas St Trans, 4.0% due 8/30/20 — Interest — Sold (part)

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

WI St Hlth & Eductnl Facs Auth Rev, 6.625% due 02/15/2039 — None — Buy

JPM Chase - Checking — None

HSA Bank — Interest

Ally Bank — Interest

Altitude Ventures Texas, LP (1) — None — Buy

American Express Bank, FSB — Interest

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

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

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

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

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

APAX Europe VII Private Investors, LLC (1) — None — Distributed (part)

APAX Europe VII Private Investors, LLC (1) — Distributed (part)

Atlantic Trust Company, N.A. — Dividend

Barclays Bank — Interest

Bepoken (9) — None — Buy

BRKB-Common — None

Black Stone Minerals, LP common units — Distribution

Black Stone Minerals, LP sub units — Distribution

Brand Group Holdings, Inc.-Common — None — Merged (with line 186)

.-Restricted Stock (7)

Carlyle Asia Partners II (1) — None — Distributed (part)

Carlyle Asia Partners II (1) — Distributed (part)

CAP IV Private Investors, LLC (1) — None — Buy (add'l)

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

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

CAP V Private Investors, LLC (1) — None — Buy

Carlyle Japan International Partners II, L.P. (1) — None — Distributed (part)

CIT Bank — Interest

CJIP II Limited, L.P. (1) — None

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

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

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

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

CD&R Fund X, LP (1) — None — Buy

CD&R Fund X, LP (1) — Buy (add'l)

Consumer Staples Select Sector SPDR-ETF — Dividend

Continuum Energy — Distribution

Common — None

Discover Bank — Interest

Emerald Marina Bay (1) — None — Distributed (part)

Emerald Marina Bay (1) — Distributed (part)

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

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

Energy Capital Investors Fund, LLC (1) — Distributed (part)

Family Alignment: FA YPS LLC (1) — None — Distributed (part)

Family Alignment: FA SPR LLC (1) — None

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

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

FDC Group McKinney, Ltd. (1)(12) — Rent

FDC Group Crawford, Ltd. (1) — None

FDC Group Dunlavy, Ltd. (1) — None

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

FDC Group Yorktown, Ltd. (1) — None

FDC Group Waugh, Ltd. (1)(12) — Rent

Finger-Roxboro, Ltd.(1)(12) — Rent

Finger-VOTL, Ltd.(1)(12) — Rent

Goldman Sachs Bank — Interest

Mt. Kellett (1) — None — Distributed (part)

Mt. Kellett (1) — Distributed (part)

Mt. Kellett II (1) — None — Distributed (part)

Mt. Kellett II (1) — Distributed (part)

GHR Healthcare, LLC — None — Buy (add'l)

Great Northern Midstream, LLC (1) — None

Ishares Core High Dividend-ETF — Dividend

(1) — None — Buy (add'l)

(1) — Buy (add'l)

HydroEx Acquistion, LLC - Note Receivable (14) — Interest — Matured

HydroEx Acquistion, LLC (14) — None — Buy (add'l)

Ishares Global Energy-ETF — Dividend — Sold

Ishares US Consumer Goods-ETF — Dividend

JP Morgan Chase Investment Account - Cash — Dividend

KKR 2006 Private Investors, LLC (1)(a) — None — Distributed (part)

KKR 2006 Private Investors, LLC (1)(a) — Distributed (part)

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

KKR 2006 Private Investors, LLC (1)(a) — Distributed (part)

KKR Americas XII Private Investors (1) — None — Buy (add'l)

KKR Americas XII Private Investors (1) — Buy (add'l)

KKR Americas XII Private Investors (1) — Distributed (part)

KMI-Common — Dividend — Buy (add'l)

Merrill Lynch (CMA) — Interest

Milton Meisler Holdings LLC — None — Buy (add'l)

Milton ZXP Holdings — None — Buy

NITYA - BCH Investors LLC (1)(12) — Rent

NITYA - Legacy at Westchase Investors, LLC( 1)(12) — Rent

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

NITYA - Sierra Park Investors, LLC (1)(12) — Rent

NITYA - TEAI LLC (1)(12) — Rent — Buy

NITYA - Saah Investors (1)(12) — Rent — Buy

NITYA - A2 Apartment Investors (1)(12) — Rent — Buy

Oaktree Capital Group LLC — Distribution — Buy (add'l)

Restricted Stock (7) — None — Closed

Common (7) — None — Buy (add'l)

Common (7) — Sold (part)

MGI Pearl Midtown, LLC (1)(12) — Rent

MGI Pearl CityCenter, LLC (1)(12) — Rent

MGI Pearl Midtown Residences, Ltd (1) — None

MGI 21Eleven Investors, LP (1)(12) — Rent — Buy

Platform Partners, LLC (1) — None

RDS A-ADR — Dividend — Buy

RDS A-ADR — Sold

RDS A-ADR — Buy

RDS A-ADR — Buy (add'l)

RDS/B-ADR — Dividend — Buy (add'l)

RDS/B-ADR — Sold (part)

RDS/B-ADR — Buy (add'l)

RDS/B-ADR — Sold (part)

Renasant-Common (merged with Brand Bank) — Dividend

Roku-Common — None — Buy

SCF-V, L.P. (1) — None — Buy (add'l)

SCF-V, L.P. (1) — Buy (add'l)

SCF-VI, L.P. (1) — None — Buy (add'l)

SCF-VI, L.P. (1) — Buy (add'l)

SCF-VII, L.P. (1) — None — Buy (add'l)

SCF-VII, L.P. (1) — Buy (add'l)

SCF-VII, L.P. (1) — Distributed (part)

SCF-VII, L.P. (1) — Buy (add'l)

SCF-VII(a), L.P. (1) — None — Buy (add'l)

SCF-VII(a), L.P. (1) — Buy (add'l)

SCF-VII(AIV), L.P. (1) — None

SCF-VIII, L.P (1) — None — Buy (add'l)

SCF-VIII, L.P (1) — Buy (add'l)

SCF-VIII, L.P (1) — Distributed (part)

SCF-VIII(AIV), L.P. (1) — None

SCF-IX, LP (1) — None — Buy

SCF-IX, LP (1) — Buy (add'l)

SJKI-Common (13) — None — Merged (with line 226)

St John Knits Intl Inc Conv New Money Zerio% Perpetual (13) Y — None

SRE Properties, LP (1)(12) — Rent

Surefire Social-Convertible Pfd — None

Synchrony Bank — Interest

(1) — None — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1)Y — None

(1) — None — Distributed (part)

(1)Y — None — Buy (add'l)

(1)Y — Distributed (part)

237 (1) — None — Buy (add'l)

237 (1) — Distributed (part)

(1) — None — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Buy (add'l)

(1) — Distributed (part)

(1) — None — Distributed (part)

(1) — None

(1) — None — Buy

(1) — Distributed (part)

(1) — None — Buy

(1) — Distributed (part)

(alpha sort) (11)

(alpha sort) (11) — Buy

(alpha sort) (11) — Buy (add'l)

JP Morgan Chase-Checking — None

JP Morgan Chase-Checking-S — None

Vac One Note Receivable (14) — Interest — Merged (with line 132)

Vanguard Municipal Money Market — Dividend

Vanguard Large Cap Index Fund Adm — Dividend — Buy (add'l)

Vanguard Large Cap Index Fund Adm — Sold (part)

Vanguard Tax-Managed Cap Apprec- Mutual Fund — Dividend — Buy (add'l)

Vanguard Tax-Managed Cap Apprec- Mutual Fund — Buy (add'l)

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

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

Vanguard 500 Index-Mutual Fund — Sold (part)

Vanguard Federal M/M — Dividend

Vanguard Information Technology Index Admiral Fund — Dividend

Vanguard Total Stock Market Index Admiral Fund — Dividend — Sold

Vanguard Total Stock Market Index Admiral Fund — Buy

Vanguard Total Stock Market Index Admiral Fund — Sold

Vanguard Developed Markets Admiral Fund — None — Buy

Vanguard Developed Markets Admiral Fund — Sold

Vanguard European Stock Index Admiral Fund — None — Buy

Vanguard European Stock Index Admiral Fund — Sold

Vanguard Pacific Stock Index Admiral Fund — None — Buy

Vanguard Pacific Stock Index Admiral Fund — Sold

VETIQ Staffing LLC (1) — None — Buy

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

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

Xapp Media (9) — None

Zinc Oxide-SeriesA (1) — None — Distributed (part)

Certain LLC 1/18 (1) — None

Certain Limited Partners 1/39 (1) — None

Certain Limited Partners 2/54

Elliott Associates, L.P. (1) — None

West Cam, L.P. (1) — None — Distributed (part)

MP GEO, LLC (1) — None — Distributed (part)

Midland Basin GEO, LLC (1) — None — Distributed (part)

Gamma Geo (1) — None — Distributed (part)

Gamma Geo (1) — Distributed (part)

Flex Waz (1) — None — Distributed (part)

Flex Waz (1) — Distributed (part)

Certain LLC 2/54 (1% owner in 2/54LP) (1) — None

IRA #1

Vanguard Admiral Fund Treasury M/M - Mutual Fund — Dividend

Vanguard Prime M/M - Mutual Fund — Dividend

Vanguard 500 Index Fund — Dividend

Vanguard S&P 500 Index ETF — Dividend

Vanguard Federal Money Market Fund — Dividend

IRA #2

Merrill Lynch Cash — Interest — Closed

Goldman Sachs Bank — None — Closed

Goldman Sachs Liberty Harbor (1) — None — Distributed

IShares Core High Dividend - ETF — Dividend

KMI - Common Stock — Dividend

Oaktree - Units — Distribution

RDSB - ADR — Dividend

RDS/A - ADR — None — Sold

SJKI - Common Stock — None — Merged (with line 344)

St John Knits Intl Inc Conv New Money Zerio% Perpetual (13) Y — None

Vanguard Admiral Fund Treasury M/M - Mutual Fund (10) — None — Closed

Vanguard 500 Index Fund — Dividend — Buy (add'l)

Vanguard S&P 500 Index ETF — Dividend

Vanguard Federal Money Market Fund — Interest

#2 Trust (R8)

Merrill Lynch Reserves — Interest

IShares US Consumer Goods - ETF — Dividend

Vanguard Tax-Managed Capital Appreciation - Mutual Fund — Dividend

Vanguard Admiral Fund Treasury - Mutual Fund — Dividend

Vanguard Muncipal M/M (formerly known asTax-Exempt M/M - Mutual Fund — Dividend

Vanguard Federal M/M Fund — Dividend

Certain Limited Partners 2/54

Elliott Associates, L.P. (1) — None

MEMBER, EXECUTIVE COMMITTEE, COUNCIL, VICE PRESIDENT, AMERICAN LAW INSTITUTE

MEMBER, BOARD OF TRUSTEES AND EXECUTIVE COMMITTEE, BAYLOR COLLEGE OF MEDICINE

Reimbursement — AMERICAN LAW INSTITUTE — JANUARY 17-19, 2018 — PHILADELPHIA, PA — ATTEND ALI COUNCIL MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — FORDHAM LAW SCHOOL — FEBRUARY 22-24, 2018 — NEW YORK, NY — FORDHAM LAW REVIEW SYMPOSIUM — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — NATIONAL CONFERENCE OF BAR EXAMINERS — APRIL 19-22, 2018 — RICHMOND, VA — NATIONAL CONFERENCE OF BAR EXAMINERS — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — DUKE LAW SCHOOL — MAY 23-25, 2018 — DURHAM, NC — FACULTY AT DUKE JUDICIAL STUDIES (DUKE MASTER OF JUDICIAL STUDIES) — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — DUKE LAW SCHOOL — MAY 30-31, 2018 — DURHAM, NC — FACULTY AT DUKE JUDICIAL STUDIES (DUKE MASTER OF JUDICIAL STUDIES) — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — INSTITUTE FO THE ADVANCEMENT OF THE AMERICAN LEGAL SYSTEM (IAALS) — AUGUST 28-30, 2018 — DENVER, CO — IAALS NATURAL DISASTERS PROTOCOLS COMMITTEE MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — NATIONAL CONFERENCE OF BAR EXAMINERS — SEPTEMBER 6-9, 2018 — MINNEAPOLIS, MN — NATIONAL CONFERENCE OF BAR EXAMINERS — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — AMERICAN LAW INSTITUTE — OCTOBER 11-12, 2018 — PHILADELPHIA, PA — ALI MODEL PENAL CODE: SEXUAL ASSAULT AND RELATED OFFENSES ADVISERS AND MEMBERS CONSUL — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — AMERICAN LAW INSTITUTE — OCTOBER 17-19, 2018 — NEW YORK, NY — ALI OCTOBER COUNCIL MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — AMERICAN LAW INSTITUTE — NOVEMBER 8-9, 2019 — PHILADEPHIA, PA — ALI - RESTATEMENT OF THE LAW THIRD, CONFLICTS OF LAW PROJECT MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Reimbursement — IAALS — DECEMBER 2-4, 2018 — DENVER, CO — IAALS NATURAL DISASTERS PROTOCOLS COMMITTEE MEETING — LODGING, MEALS, TRANSPORTATION AND AIRFARE

Income — 2018 — NATIONAL BOARD OF BAR EXAMINERS, WRITING — $7,000.00

Spouse's income — 2018 — .: DIRECTOR'S FEES

Spouse's income — 2018 — : PARTNER DISTRIBUTION

Spouse's income — 2018 — : DIRECTOR'S FEES

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 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). The entities' 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. 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 at 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 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, total accreted interest is included in Value Column D(3). On maturity, redemption, or sale of zero

coupon bonds, Value Column D(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 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. resigned from the board on 2/15/2018 and no further restricted shares will be awarded.

(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 direct ownership (whether purchases or distributions or income and gain (to the extent actually distributed)) may be

reflected in either the appropriate entity or the line for the individually named portfolio company, or both.

(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.

Filer does not own any rental property. However, filer is invested in third party controlled partnership vehicles where the general partner invests in rental

properties, sometimes in multiple locations and multiple cities.

(13) SJKI was converted into a convertible debt with no value.

(14) Hydro Ex has existed as a separate common stock with a note and survives after the note was paid off. Vac One was a note and was paid off.