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Judicial Watch • Lee H Rosenthal Financial Disclosure Report for 2003

Lee H Rosenthal Financial Disclosure Report for 2003

Lee H Rosenthal Financial Disclosure Report for 2003

Page 1: Lee H Rosenthal Financial Disclosure Report for 2003

Category:Financial Disclosure

Number of Pages:31

Date Created:February 3, 2005

Date Uploaded to the Library:November 13, 2013

Tags:VUSXX, placement, Lee H Rosenthal, private, partial, mutual, Gross, 2003, EPA, transactions, TRUSTS, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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UNITED STATES DISTRICT COURT 
SOUTHERN DISTRICT TEXAS 11535 UNITED STATES COURTHOUSE 
TELEPHONE NO. 515 RUSK STREET 
(713) 2505980 HOUSTON, TEXAS 77002 FACSIMILE
CHAMBERS 
(713) 2505213
JUDGE LEE ROSENTHAL EMAIL lee_rosenthal@txs.uscourts.gov 
September 2004 
Honorable Mary Lisi Chair  C') r-.,, o(l)Z c::l> :::oz  c:::>c:::> ..:: V:> rr'I "'i::J  :::0  
Committee Financial Disclosure One Columbus Circle, N.E. Washington, D.C. 20544  "Tl, r:i'  
..D  
Dear Judge Lisi: receipt your letter dated July 29, 2004 regarding calendar year 2003 filing. have asked husband review the issue you raised, and have the following response: Part VII (2002 Report): 
This asset was sold July 22, 2002 with D(3) value code of"K" and gain code "E" reflected the 2002 Report. Column D(l) should have reported "sale." This omission has been corrected and 
 
attached hereto. you have any fi.:uther questions, please let know. 
Very truly yours, 
NlmcoCPmaa l>alcoCllcpGll FJNANCJAL DISCLOSURE REPORT (cont'd) Lee Rosenthal S/lS/2003 
VU. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Jncludes those spouse and dependent children; see pp.34-59 Instructions). Description Assets Income Gross value (including trust assets) during end Transactions during reporting period 
reporting 	reporting "od 
lfnot oxempt liom diaelo5ura 
Type  
(I)  (2)  (1)  (2)  (e.g.  (2)  (3)  (S)  
buy,sell  Date:  
Type (e.g.,  Value  merger, rr.dcmp- Month-Day  Value Code  Gain Code  Identity buyer/seller  
Place "(X)" after each asset  Amt.  div.,  Value  Method on)  (J-P)  (A-H)  (if private  
exempt from prior disclosure.  Code  rent  Code  Code3  transaction)  
(A  int.  (Q-W)  
#85 Trust  div/int i.r the ncfiary (3).  
-CVX-Common  -DD-Common  sale  7122  
-KO-Conunon  
-G-Common  partial distribution  l/4  dist Ros Child UTMA  
-JnterVood Util Dist S.S% due 03/01/04  
-K-Common  sale  7122  
-Merrill Lynch Reserves  
-Midway, S.SS% due OS/01/07  
-MMM-Common  Ille  7122  
-PEP-Common  
-RD-Conunon(l2) -VTCLX-Mutual Fund  ClU>haugo  5120  c:xchang" VUSXX  
-VTGIX-Mutual Fund  
-VUSXXMutual Fund  5/20  ac:hango from VTCLX  
$120  e11oluloe liom VTSMX  
-VWNFX-Mutual Fund  
 VTSMX-Mutual Fund  "lo  cuhange VUSXX lncomo'Oain Codes: Al.000 Jess; B-Sl,000-$2,SOO; C=S2,S01-SS,OOO; D=SS,001-SlS,OOO; ESlS,OOlSS0,000; P-SSO,OOlSI00,000; 0-$100,1 H2=SS,OOO,OOI more Value Codes: l-SIS,000 lcs.s; KSlS,001-SSO,OOO; L=SS0,001 SJ00,000; MSJ00,001$2S0,000; N=S2SO,OOl-SSOO,OOO; c.FSSOO,OOll,000,00I 
P3=$2S ,000,001-SSO,OOO,OOO; P4-$S0,000,000 more Value Method Codes: Q'-Appraisal; R=Cost (Real Estate Only); S=Assessment; Ta:Casb/Marltet; UBook Value; V-Other; W=Estlmated 
Sec cxplanalory foolllOICs page 29. 
;;_.; 

 
C'!Ll 
7-10 
Rev.1/2004 Government Act 1978 Calendar Year 2003 U.S.C. app.  101-111) Person Reportig (Last name, First name, Middle initial) Court or0rganizat1on 
ROSENTiiAL, LEE U.S.D.C.-S.D.TX TiUe (Article ill Judges indicate active senior status; ReportType (check appropriate type)  
magistrate judges indicate full-or part-time) Nomination.  Date  
U.S. DISTRICT JUDGE-ACTIVE Initial Amwal Final Date ofReport 5/1512004 	Reporting Period 1/112003 12131/2003 Chambers Office Address the basis ofthe infonnation contained this Report and any  
515 RUSK  modifications pertaining thereto, is. opinion, compliance with applicable laws and regulations.  
ROOM 11535  
Reviewing Officer  
HOUSTON, TEXAS 77002  

JMPORTANT NOTES: The instructions accompanying this fonn must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSmONS. (Reporting individual only; see pp. 9-13 filing instructions) NONE -(No reportable positions.) 
VICE PRESIDENT/SECRETARY 	THE ROSENTHAL FOUNDATION MEMBER 	UNIVERSITY ClilCAGO LAW SCHOOL VISmNG COMMl'ITEE 
DIRECTOR 	DEPECHIN CHllDREN'S CENTER 
II.  AGREEMENTS.  (Reporting individual only; see pp. 14-16 offiling instructions)  
 NONE  -(No reportable agreements.) r-"T'I O::;;  c:>  .:::o (') 
())#-.;.. 
-.,, l"1 

III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 filing instructions) Filer's Non-Investmentlncom 
 NONE -(No reportable; non-investment income.) Spouse's Non-Investment Incom -(If you were married during any portion the reporting year, please complete this section. (dollar amount 

not required except for honoraria) NONE -(No reportable non-investment income.) 
FJNANCIAL DISCLOSURE REPORT 
NameofPersonReporting 
Date Report 
ROSENTHAL, LEE 
5/15/2004 REIMBURSEMENTS transportation, lodging, food, entertainment.
(Includes those spouseand dependent children. See pp. 25-27 instructions.) NONE -(No such reportable reimbursements.) 

SOURCE 
NATIONAL CENTER FOR STATE COURTS 1/28-29/03-Wll.LIAMSBURG, VA: AIRFARE MEALS FOR EDUCATIONAL SEMINAR 
FEDERAL JUDGES ASSOCIATION 513-5/03-WASHINGTON, DC: AIRFARE MEALS FOR BOARD MEETING 

NEW YORK UNIVERSITY 5n-8/03-NEW YORK: AIRFARE, I.DDGING MEALS FOR CONFERENCE LABOR 
UNIVERSITY CHICAGO LAW SCHOOL 5/13-14/03-CHICAGO, IL: AIRFARE. I.DDGING FOR SPEAKING ENGAGEMENT 
CORPORATE LEGAL TIMES 6/12-13/03-CHICAGO, IL: AIRFARE, LODGING MEALS FOR CONFERENCE 
All 6/18-19/03-PHILADELPHIA, PA: AIRFARE LODGING FOR CONFERENCE 
ABA 8/8-10/03-SAN FRANCISCO, CA: AIRFARE, LODGING MEALS FOR ImGATION SEC 

ABA 10/23-24/03-SAN FRANCISCO, CA: AIRFARE, LODGING MEALS FOR CLASS ACT INST 
.AEI 10130/03-WASHINGTON, DC: AIRFARE I.DDGING FOR SPEAKING ENGAGEMENT 

10. 
NJTRIAL ATIORNEYS 10/31-1111/03-NEW JERSEY: AIRFARE, MEALS MISC FOR SEMINAR 

11. 
AU/ABA 11/6-7/03-WASHINGTON, DC: AIRFARE, LODGING, MEALS MISC. CLASS ACT INST 

12. 
All 11113-15/03-WASHINGTON, DC: AIRFARE, LODGING MEALS FOR SEMINAR 
NameofPersonReporting
Date Report 
ROSENTHAL, LEE 
5/1512004 GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 NONE -(No such reportable gifts.) LIABILITIES. (Includes those spouse and dependent chfldren. Sec pp. 32-34 instructions.) 
 NONE (No reportable liabilities.) 
VIL INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions). 
Description Assets 
(including trust assets) 

Place "(X)" after each asset 
exempt from prior disclosure. Income during reporting Gross value end reporting Transactions during reporting period  
(1) Type not exempt fiom diacloaurc  
(1) (2) Type (e.g., Amt. div., Code rent int.)  (1) (2) Valu Value Method Code Code  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

Merrill Lynch Reserves  div/int  
Aldine TXISD 5.1%due 2/15/07  int  
AliefTX ISD 5.6% due 2115/14  int  
Arkansas College 0.00% due 6/1/15  None  
Austin Pub Impt 4.6% due 9/1/11  int  
Azle TXISD 0.00% due 2/15/14  None  
Chicago Brd 0.00% due 1211/19  None  
Corpus Christi Ctfs Obi 5.35% due 3/1/12  int  
Dallas Wtrwks Swr 5.5% due 10/1/10  int  sell  10/2  
Dallas 5.00% due 2115116   int  
Ft. Worth G.0. 5.75% due 3/10/6  int  
Harris Cty, TX, 5.75% due 10/1/14  int  
Leander ISD 0.00% due 8/lS/11  None  
Leander ISD 0.00% due 8/15/13  None  
Lewisville ISD 0.00% due 8/15/21  None  
Plano 5.00% due 9/1/18  int  
San Antonio Ctfs Obi 6.5% due 8/1/10  int  
Travis 4.75% due 3/1/12  int  
Tulsa 6.375% due 211/07  int PFA  Conductor 0.00% due 4/01/09  None Income/Gain Codes: A=Sl,000 less; B=Sl,000-$2,500; C-$2,501-$5,000; D=$5,001-$15,000; 8=$15,001-$50,000; F=$50,001-$100,000; G=Sl00,001-$1,000,000; Hl=Sl,000,001-$5,000,000; H2-S5,000,001 more Value Codes: J--S S,000 less; K=$15,001-$50,000; I..=$50,001 $100,000; M-$100,001-$250,000; N$2S0,001-$SOO,OOO; 0=$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; $S,000,001-$2S,OOO,OOO; P3=$2S,000,001-$SO,OOO,OOO; P4-SS0,000,000 more alue Mehoo Codes: Q-Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 26. 

partial sell  8/29  private placement  
partial sell  10/28  private placement  
partial buy  10131  private placement  
partial buy  11121  private placement  
partial sell  12129  private placement  

Avalon Advisors, L.P. Blackstone Acquisition Partners L.P.  lnt/dlatr royalty/dlatr  U(2) U(2)  
BLS-Common BK-Common  div div  partial sell sell  3/19 3/24  

Naml aCP.aoa llopardq Dale olllcpalt 
5/1512004
VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
{Includes those spouse and dependent children; see pp. 34-60 Instructions). 
Description Assets {including trust assets) 
Place "(X)" after each asset 
exempt from prior disclosure. 
BUD-Common Cal Trac-Conv. Pfd. CAT-Common C-Common COST-Common CO-Common CVX-Common DJ-Common Doane Pet Food Enterprises, Inc. DNB-Common Dresser, Ltd.-Common 
DUK-Common 
ECA-Common EOG Resources-Common FDC-Common Febrero lnvesnnents Corporation FMC -Common div Income during reporting Gross value end reporting Transactions during reporting period  
(1) Amt. Code (A-H) (2) Type (e.g., div. rent  (1) Value Code2 (2) Value Method Code3  (1) not exempt from disclosure Type (e.g. (2) (3) buy.sell Date: merger, Month-Value redemp-Day Code tion) (J-P) (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

None div div 
buy 1/23
None 
None sell 612 div div 

None 
None 
None 
None (10) div buy 1/6 partial sell 3/19 sell 10/29 div div div int U(2) 
None sell 3/4 Income/Gain Codes: A=S 1,000 less; B=S ,000-$2,500; 0=$2,501-$5,000; 0-$5,001-S 15,000; E=S 15,001-$50,000; F..$50,001-SlOO,OOO; 0'"'$100,001-$1,000,000; =$1,000,00 l-SS,000,000; H2=$5,000,001 more Value Codes: J-$15,000 less; K-$15,001-$50,000; L=$50,001 $100,000; M=Sl00,001-$250,000; N-$250,001-$500,000; 0-$500,001-1,000,000; Pl-Sl,000,001-SS,000,000; 
P2$S,000,001-$25,000,000; P3$2S,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R--COst (Real Estate Only); S=Assessmcnt; T=Cash/Market; U=Book Value; V-=Other; W=Estimated See i:xplanatoryfootnotes page 26. 

VII. INVESTMENTS AND TRUSTS --income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 oflnstructions). 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure. Income during reporting Gross value end reporting Transactions during reporting period  
(1) Type  Ifnot exempt from disclosure  
(1) Amt. Code (2) Type (e. g., div., rent  (1) '(2) Value Value Method Code2 Code3 (J-P)  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

FNM-Common div 
FPD Holdings 	None 
FRE-Common div 
FST-Common 	None sell 612 
G-Common div 
GE-Common div 	partial buy 10/7 
GMH-Common None exchange 12124 exchanged partial sell 12124 
GPC-Common div 
Hawkins Investment Partnership div/int 	partial buy 613 private placement partial buy 9/30 private placement 
None U(2) 
buy 	private placement 
None U(lO) grant 612, 	private placement int U(2) 
HLTH-Common 	None sell 612 
HMTF Europe Private Fund divfmt/distr U(2) 	partial sell 4/17 private placement partial sell 7/11 private placement partial sell 7/29 private placement partial sell 8120 private placement partial buy 11/12 private placement Income/Gain Codes: A=Sl,000 less; B=Sl,000-$2,500; C=$2,S01-$S,OOO; D-SS,001-$15,000; B-$15,001-$50,000; F...$50,001-$100,000; G=S l00,001-$1,000,000; Hl..$1,000,001-$5,000,000; H2-$5,000,001 more Value COdes: J=SlS,000 less; K=$1S,00l-$50,000; L-$50,001 $100,000; M=Sl00,001-$250,000; N=$2S0,001-SSOO,OOO; 0=$500,001-1,000,000; Pl=$1,000,001-SS,000,000; P2=$S,000,001-$2S,OOO,OOO; P3=$2S,000,001-$50,000,000; P4-$SO,OOO,OOO more alue Mchod Codes: Q-Appraisal; R=Cost {Real Estate Only); S=Asscssment; T=Cash/Market; U-Book Value; V=Other; WEstimated 

See explanatory footnotes page 26. 

NlmoolPalOll 
MCK-Common div Merrill Lynch Reserves div/int Merrill Lynch Reserves (CMA) div/int Merrill Lynch Reserves (AV) div 
MHS-Common 
MTD-Common 

atock dividend from MRK 
None 
9 

Name l'aMl Rqiordaa Daleofllq>ad Income during reporting Gross value end reporting Transactions during reporting period  
(1) Type not exempt from discloswc  
(1) (2) Type (e.g., Amt. div., Code rent  (1) (2) Value Value Method Code Code3  (e.g. buy,sell merger, redemption)  (2} Date: Month-Day  (3) Value Code2 (J-P)  (4) Gain Code {A-H)  (5) Identity buyer/seller (if private transaction)  

VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions). 

Description Assets 
(including trust assets) 
,,. 
Place "(X)" after each asset 
exempt from prior disclo8ure. 
MO-Common div MRK-Common div MSFf-Common div MWV-Common div NAGC Acquisition Inc. None 
None NHL-Dep Rcpt None 
NWSA-Dep Rcpt None OIS (formerly listed OSl)-Common None None 
PEP-Common div PFE-Common div PG-Common div 
None 
RD-Registered div SBC-Common div 
Lee Rosenthal 5/15/2004  partial sell  buy  partial sell  
partial sell  exchange  (IO)  grant  
optioncxcr  optionexcr  
(10)  grant  
partial sell  
sell  

612  
11/ll  private placement  
2110 2/13 12124  exchanged t'om  
S/13 11/14  
411 12/31  privato placement private placement  
3/19 3124 lncome./Gain Codes: A=$1,000 less; Bm$ l,000-$2,500; C-$2,501-$5,000; 0=$5,001-$15,000; E=$15,001-$50,000; F..$50,001-$100,000; G-=$100,001-$1,000,000; $1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: '1=$15,000 less; K$15,001-SSO,OOO; I.=$50,001 Sloo,ooo; M=St00,001-$250,000; NS2S0,001-S500,000; CFS500,001-1,000,000; s1,ooo,001-ss,ooo,ooo; P2$5,000,001-$25,000,000; P3$25,000,001-$50,000,000; P4-$50,000,000 Value Meod Codes: Q=Appraisal; R=Cost {Real Estate Only); S=Assessment; T-Cash/Market; U=Book Value; V=Other; W=Estimated 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those ofspouse and dependent children; see pp. 34-60 Instructions). 

Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior disclosure. 
SCFIV-3i, L.P. clivfmt/disUi 
SCF-V,L.P. None SIAL-Common div SJK.1-Common None LS-Common None SRE Properties, dis Sterling Group Partners LP 
Lee Rosenthal 
partial acll partial sell partial sell partial acll partial buy 
partial acll 
partial buy partial sell partial buy partial buy partial buy partial sell buy 
partial buy partial buy Income during reporting Gross value end reporting Transactions during reporting period  
(1) Type  Ifnot exempt ftom disclosun:  
(1) (2) Type (e.g., Amt. div., Code rent int.)  (1) (2) Value Value Method Code2 Code3 (Q-W)  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code2 (J-P)  (4) Gain Code (AH)  (5) Identity buyer/seller (if private transaction) U(2) U(2) U(2) U(2) 
5/15/2004 
pnvate placement private placement private placement private placement private placement private placement private placement private placement private placement private pla=Dcnt private placement private placement private placement 
private placement private placement 
1113 2124 2128 3/6 Sill 6/S 6/ll 6121 10/IS 12131 12/IS 8112 
8127 11121 Income/Gain Codes: A-=$1,000 less; B-$1,000-$2,500; C-$2,501-$5,000; D=$5,001-$15,000; E=$15,001-$50,000; F-$50,001-$100,000; 0=$100,001-$1,000,000; Hl-Sl ,000,001-$5,000,000; H2=$5,000,001 more Value Cedes: J=SIS,000 less; K=SlS,001-$50,000; LS50,001 $100,000; MSl00,001-$250,000; N=$250,001-S500,000; 0=$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; P2=S5,000,001-$25,000,000; P3=S25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T-Casb/Market; U=B ook Value; V=Other; W=Estimated 
SeeexplanatorY footnotes page 26. 
-otPcnan Raponina 
5/15/2004 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions).  
Description Assets  Income  Gross value  
(including trust assets)  during end  Transactions during reporting period  
reporting  reporting  
Ifnot exempt from disclosure.  
Type 
(1)  (2)  (1)  (2)  (e.g.  (2)  (3)  (4)  (5)  
buy.sell  Date:  
Type  merger,  Month- Value  Gain  Identity  (e.g.,  Value  redemp- Day  Code  Code  buyer/seller  
Place "(X)" after each asset  Amt.  div.,  Value  Method  tion)  (J-P)  (A-H)  (if private  
exempt from prior disclosure.  Code  rent  Code  Code  transaction)  
int.)  (Q-W)  
Sternhill Affiliates  int  U(2)  partial buy  619  private placement  
partial buy  1218  private placcmcnl  
Sternhill Partners  int  U(2)  partial buy  619  private placement  
partial buy  1218  private placement  
STR-Common  div  
STT..Common  div  
CapStreet II,  div/int/royalt  U(2)  partial buy  2/18  private placement  
y/distr  
partial buy  10113  private placement divfmt/royalt U(2) partial buy 2/18 private placement y/distr partial buy 10/13 private placement Summit/Switch Data Partners, None (14) 12117 Summit/Travis Partners, L.P. (remaining escrow acct. div/int/diatr U(2) 
after 2002 sale) 
SWBT-Common div 
TAPB div sell 2111 
TAPA div sell 2111 
Texas China Partners Ltd.-A div U(2) 
Texas Commerce Bank-Checking, Houston, int 
Texas Commerce Bank.Checking, Houston, TX-S int 
None (14) 7120 Income/Gain Codes: A=Sl,000 less; B=Sl,000-$2,500; C-$2,501-$5,000; IF$5,001-$15,000; E=$15,001-$50,000; F-$50,001-$100,000; 0=$100,001-$1,000,000; Hl=$1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: J=$15,000 less; K-=$15,001-$50,000; l.=$50,001 $100,000; MSI00,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; Pl=-$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$2S,OOO,OO 1-$50,000,000; P4-$50,000,000 mor Value Method Codes: Q-Appraisal; R=Cost (Real Estate Only); $Assessment; T--Cash/Marlcet; U=Book Value; V=Other; W=Bstimated 
CapStreet Parallel II, 
:See explanatory footnotes page 26. 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
{Includes those spouse and dependent children; see pp. 34-60 Instructions). 

Description Assets 
(including trust assets) 
Place "(X)" after each asset 
exempt from prior disclosure. Income during reporting Gross value end reporting  D. Transactions during reporting period  
(1) Type not exempt om dlaclo1Ure  
(1) (2) Type (e.g., Amt. div., Codel rent (A-H)  (1) (2) Value Value Method Code Code (Q-W)  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

None  (14)  7120  
TOT-Common  div  
TLM-Common  div  
TROW-Common  div  
TXN-Common  div  
UPS-Common  div  
UTX-Common  div  
VMSXX-Mutual Fund  div/int  partial buy  612  exchanged om VTCLX  
partial sell  3/17  ex.changed vusxx  

 partial buy  4/15  cxchaned from VUSXX  
VTCLX-Mutual Fund  div/int  partial sell  612  exchanged VMSXX  
VWNAX-Mutual Fund  div/int  
VUSXX-Mutual Fund  div/int  partial buy  3/17  ciu:banged from VMSXX  
sell  4/IS  exchanged VMSXX  

VGT Sod,LP 
VZ-Common div U(2) 
sell 

ZION-Common div 183929 L.L.C. None U(2) partial buy 7130 Income/Gain Codes: A-$1,000 less; BSl,000-$2,500; C-$2,501-$5,000; 0=$5,001-$15,000; E=$15,001-$50,000; F=$50,001-Sl00,000; 0=$100,001-$1,000,000; H1=$1,000,001-S5,000,000; H2--$5,9(>0,001 more Value Codes: J--$15,000 less; K=Sl5,001-$50,000; 1F$50,001 $100,000; M-$100,001-$250,000; N=$250,001-$500,000; C>-$500,001-1,000,000; P1=$1,000,001-S5,000,000; P2=$5,000,00 $25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 moro Val Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S-Assessment; T=Cash/Market; U=Book Value; V--Othcr; WEstimated 

Mamo orr ...... ltcpcxtiaJ Dale otbporl 
VII. INVESTMENTS AND TRUSTS --income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions). Description Assets (including trust assets) 
Place "(X)" after each asset exempt from prior discloure. 
392918 Limited Partnership None U(2) 
(1) 
IRA's Treasury Zero% Obligations None 
Merrill Reserves div Lee Rosenthal S/1 5/2004 Income during reporting Gross value end reporting Transactions during reporting period  
{l) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code2 Code3 (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redemption) not exempt from discloiure (2) Date: Month-Day (3) Value Code (J-P) (4) Gain Codel (A-H)  (S) Identity buyer/seller (if private transaction)  

partialbuy partialbuy partialbuy partial buy partialbuy partial buy partial buy partial buy partial buy partial buy partial buy partialbuy partialbuy partial buy partial sell partial buy private placement private placement private placement private placement private placement private placement private plaa:ment private placcmcnt private placement private placement private placement private placement private placement private placement private placement private placement 
2124  
3/11  
412  
4f7  
412!1  
!i/22  
6124  
7/30  
8121  
9/18  
10/13  
10/23  
11/13  
12/IS  
12117 Income/Gain Codes: A-Sl,000 less; B-$1,000-$2, SOO; C-$2, l-SS,OOO; D=SS,001-$15,000; $15,001-$50,000; F=$50,001-$100,000; G=Sl00,001-$1,000,000; Hl"'Sl,000,001-SS,OOO,OOO; H2=$5,000,001 more Value Codes: J=Sl5,000 less; K"'Sl5,001-$50,000; L=SS0,001 $100,000; M=Sl00,001-$250,000; N=$250,001-S500,000; 0=$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; 
P2-S5,000,001-$25,000,000; P3$25,000,001-$50,000,000; P4-$50,000,000 ore Value Meod Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; Tash/Market; U=Boolc Value; V=Other; WcEstimated Sec explanatory footnotes page: 26. 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions). 
Description Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure. 
VMMXXMutual Fund 
VUSXX-Mutual Fund 
VFINX-Mutual Fund Treasury Zero% Obligations Merrill Lynch Reserves Ardelon Investments Ltd., L.P. Doane Pet Care Note due 3/31107 Doane Pet Care Warrants DUK-Common FNM-Common 
FRE-Common 
Income 

Gross value 
during end 
Transactions during reporting period 
reporting 

reporting Type 
(e.g. 
buy,sell 
Type 

(1) (2)
(1) (2) 
merger, 
(e.g., 

Value 
redemp-
Amt div., 

Value Method 
tion) Code rent 
Code Code (A-H) int.) 
(J-P) not exempt tiom dilcloauni  

(2)  (3)  
Date:  
Month- Value  Gain  Identity  
Day  Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction) div/int 	buy sell 1/29 exchange VUSXX buy 3/13 sell 3/17 exchange VUSXX div/int 	partial sell 1/6 exchange VflNX 
partial buy 1/8 	exchanae from VFINX partial buy CM:hango from VMMXX partial buy 1129 oxchango from VMMXX 
None

buy 1/6 exchange from VUSXX sell 1/8 CM:hangc VUSXX 
None div/int div/int U(2) partial buy 613 

redemption 3/14 
None previously combined wilh notes int sell 11112 int partial buy 6111 int 	partial sell 612 
partial buy 6111 

GPC-Comrnon int Income/Gain Codes: A-$1,000 less; B=Sl,000-$2,500; 0-$2,501-$5,000; 1>=$5,001-$15,000; B=$15,001$50,000; F=$50,001-$100,000; G=$100,001-$1,000,000; Hl=Sl,000,001-$5,000,000; H2=$5,000,001 mor Value Codes: 1=$15,000 less; K=S15,001-$50,000; I..=$50,001 Sl00,000; M-$100,001-$250,000; N=S250,001-$500,000; 0=$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; P2=S5,000,001-S2 5,000,000; P3=S25,000,001-$50,000,000; P4-S5o,ooo,ooo more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; UBook Value; V=Other; W=Estimated 
See explanatory footnotes page 26. 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 Instructions). 
Description Assets 
(including trust assets) 

... Place "(X)" after each asset exempt from prior disclosure. Income during reporting  Gross value end reporting Transactions during reporting period  
(1) Type  Ifnot exempt from disclosure  
(1) (2) Type (e.g., Amt. di-y., Code rent int.)  (1) (2) Value Value Method Code Code (Q-W) (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (.S) Identity buyer/seller (if private transaction)  

OMI-Common  None  partial ell  2111  
ell  2112  
SJK.1-Common  None Treas 7.25% due 5/15/16  int Treas 6.125% due 8/15/07  int Treas 6.25% due 2/15/07  int  
VUSXX-Mutual Fund  div/int  buy  1/8  exchanae from VWNAX  
partial sell  Ifl4  exchange VWNAX  

partial buy 	exchange from VWNAX 

partial sell 4/11 exchange VWNAX partial sell 4/16 exchange VWNAX sell 11/6 exchanae VWNAX 

VWNAX-Mutual Fund div/int 	partial sell 1/8 exchanae VUSXX partial buy lfl4 exchange ftom VUSXX partial BOU 3/24 
oxchango VUSXX 
partial buy 4/11 	exchange from VUSXX 
partial buy 4/16 	exchange ftom VUSXX 
partial buy 11/6 	exchange from VUSXX Income/Gain Codes: A-S 1,000 less; B-S 1,000-$2,500; C-$2,501-SS,000; D-SS,001-S 15,000; E=S 15,001-SSO,OOO; F-SS0,001-S 100,000; G=S 100,001-S 1,000,000; S 1,000,001-$5,000,000; H2=$5,000,001 ormore Value Codes: J=SlS,000 less; K=$15,001-SSO,OOO; L-$50,001 $100,000; M=SI00,001-$250,000; N=S250,001-$500,000; 0=$500,001-1,000,000; Pl=SI,000,001-SS,000,000; P2=$5,00,001-$25,000,000; P3=S2S,000,001-$50,000,000; P4-S50,000,000 more Value thod Codes: Q-Appraisal; R-Cost (Real Estate Only); S=Assessment; TcCash/Market; U=Book Value; V-Other; WEstimated 

VII. INVESTMENTS AND TRUSTS -income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 Instructions). 

Description Assets (including trust assets) Place "(X)" after each asset exempt from prior disclosure. Income during reporting Gross value end reporting Transactions during reporting period  
(1) Amt Code (A-H) (2) Type (e.g., div., rent int.)  (1) '(2) Value Value Method Code2 Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, rcdcmption) not exempt from discloswc  
(2) Date: Month-Day  (3) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

VUSXX-Mutual Fund  sell  exchange VWNFX  
VWNFX-Mutual Fund  div/int  buy  9/18  exchange from VUSXX  
9'Fou11datlon  
Merrill Lynch Cash Reserves  int  
VWNAX-Mutual Fund  div/int  
VUSXX-Mutual Fund  div/int  

NllllG Pcnoo .Rqonliia Dalo olllcpaLC111pt from diselosurc  
(l) (2) Type (e.g., Amt. div., Code rent int.)  (1) '(2) Value Value Method Code Code3 (Q-W)  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day  (3) Value Code2 (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

#85 Trust  div/int  
beneficiary (3).  
-ABT-Common  
-CVX-Common  
-KO-Conunon  
-0-Common  
-Interwood Util Dist 5.5% due 03/01/04  
-Merrill Lynch Reserves  
-Midway, 5.55% due 05/01/07  
-PEP-Common  
-RD-Common  
-VTCLX-Mutual Fund (13)  
-VTGIX-Mutual Fund  
-VUSXX-Mutual Fund  
-VWNFX-Mutual Fund  
U.S. Savings Bonds (4)  
None  
UTMA Accounts  
VUSXX-Mutual Fund  div/int Income/Gain Codes: A=Sl,000 less; B-Sl,000-$2,500; C=$2,501-$5,000; D-$5,001-$15,000; E"'$15,001-$50,000; F=$50,00I-$100,000; G"'SI00,001-$1,000,000; HlSl,000,001-$5,000,000; H2z$5,000,001 more Value COdes: J=$15,000 less; K=$15,00I-$50,000; IF$50,001 $100,000; M"'SI00,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; PlSl,000,001-$5,000,000; P2=$5,000,001-$25,000,000; ... $25,000,001-$50,000,000; P4-$50,000,000 ipore Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); SAssessment; T=Cash/Marlcet; U=Book Value; V=Other; W=Estimated 
see explanatory footnotes page 26. 
Namo otPcnoo ll



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