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Judicial Watch • Lee H Rosenthal Financial Disclosure Report for 2006

Lee H Rosenthal Financial Disclosure Report for 2006

Lee H Rosenthal Financial Disclosure Report for 2006

Page 1: Lee H Rosenthal Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:39

Date Created:January 31, 2008

Date Uploaded to the Library:November 13, 2013

Tags:placement, Rosenthal, Lee H Rosenthal, private, ATF, partial, mutual, Market, 2006, INVESTMENTS, EPA, 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 
HOUSTON, TEXAS 77002 CHAMBERS JUDGE LEE ROSENTHAL 
September 10, 2007 ........, __, (/) 
(-,
The Honorable Ortrie Smith i-(/) 
o::.:: r1'1
Chair
(/;:: Committee Financial Disclosure
35=-.::: One Columbus Circle, N.E. :.:..: CJ/:
Washington, D.C. 20544 r;r Dear Judge Smith: rri receipt your letter dated August 22, 2007 regarding calendar year 
2006 filing. have asked review the issues you raised, and have the following response and corrected report pages: Part (2006 Report): Part IV, line 11, please find that have changed the disclosure reflect that traveled Arlington, October 26-27, 2006 for the Rand Institute for Civil Justice. Part VII (2006 Report): Part VII, page 25, lines 2-6, have reflected the appropriate value cdes (J-P) reflecting the consideration paid received for each transaction associated with "EDP LP" 

Thank you for your consideration. 
Very truly yours, POSIT! ONS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) POSITION 
NAME VICE PRESIDENT/SECRETARY 	THE ROSENTHAL FOUNDATION 
MEMBER 	UNIVERSITY CHICAGO LAW SCHOOL VISITING COMMITTEE 
DIRECTOR 	DEPELCHIN CHILDREN'S CENTER 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) 
 	NONE (No reportable agreements.) PARTIES AND TERMS 

Name Person Reporting 
Date Report 
ROSENTHAL, LEE 
05/15/2007 
III. N-JNVES TMENT ME. (Reporting individual and spouse; see pp. 7-24 instructions.) Filer's Non-Investment Income NONE (No reportable non-investment income.) Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this sec/ion. 
(Dollar amount not required except for honoraria.) 
[}[] NONE (No reportable non-investment income.) 

JV. REIMBURSEMENTS -transportation, /odging,food, entertainment (Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) SOURCE DESCRIPTION 
1/20-21/2006: Amelia Island, FL, Airfare Ground Transportation  University Missouri  4/6-8/2006: Kansas City, MO, Airfare Ground Transportation  Sedona Conference  5/10-12/2006: Phoenix, AZ, Airfare Ground Transportation  State Bar Texas  5/25-26/2006: Padre Island, TX, Hotel, Meals, Airfare Ground Transportation  American Law Institute  5/30/2006-6/1/2006: Charleston, SC, Hotel, Airfare Ground Transportation  

Name Person Reporting 
Date Report 
ROSENTHAL, LEE 
05/15/2007  University Missouri  6/29-30/2006: Kansas City, MO, Hotel, Airfare Ground Transportation  University Missouri  9/11-12/2006: Kansas City, MO, Airfare Ground Transportation  Sedona Conference  9/14-15/2006: Chicago, IL, Airfare, Ground Transportation misc.  International Bar Association  9/21/2006: Chicago, IL, Airfare Ground Transportation  
10.  Federations Defense Corporate Counsel  9/28/2006: Chicago, IL, Airfare Ground Transportation  
11.  Rand Institute for Civil Justice  10/26-27/2006: Hotel, Airfare Ground Transpostation  

Name Person Reporting 
Date Report 
ROSENTHAL, LEE 
0511512007 GIFTS. (Includes those spouse and dependent children. See pp. 18-31 instrudions.) 
[K] NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 31-33 instructions.) 
[K] NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

Name Person Reporting Date Report 
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. 
Merrill Lynch Reserves 
Goldman Sachs Bank 
AliefTX ISD 5.6% due 2/15/14 
Arkansas College 0.00% due 6/1/15 
Austin Pub Impt 4.6% due 9/1/11 
Azle ISD 0.00% due 2/15/14 
Chicago Brd 0.00% due 12/1/19 Corpus Christi Ctfs Obi 5.35% due 3/1/12 Dallas 5.00% due 2/15/16 Ft. Bend ISD 0.00% due 8/15/15 Worth G.O. 5.75% due 3/10/6 Harris Cty, TX, 5.75% due 10/1/14 Laredo ISD 0.00% due 08/01/23 Leander ISD 0.00% due 8/15/11 Leander ISO 0.00% due 8/15/13 Leander ISD 0.00% due 8/15/22 Leander ISD 0.00% due 8/15/25 Lewisville ISD 0.00% due 8/15/21 Midlothian ISO 0.00% due 2/15/22 Plano 5.00% due 9/1/18 Income during reporting period 
(1) (2) 
Type 
Amt. div., Code rent (A-H) int) int int int 
None int None None int int 
None int int 
None None None None None None None int Lee Rosenthal 511512007 
Gross value end reporting period 
(1) (2) 
Value Value Method Code Code 
(J-P) (Q-W) 
Transactions during reporting period 

(1) Type (e.g. buy,sell merger, redempti on) 
close acct 
open acct 
called 
matured 
buy not exempt from disclosure 
(2) Date: Month-Day 
9/28 9/28 
311 
3/1 
7/27 
(3) 
Value Code (J-P) (4) 
Gain Code (A-H) (5) 
Identity buyer/seller (if private transaction) Income/Gain Codes: A=$1,000 less; B=$1,000-$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; 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; M=$100,001-$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=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

VII. INVESTMENTS AND TRUSTS --income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 Instructions). Income during reporting period Gross value end reporting period Transactions during reporting period  
(l) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redempti on) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure. 
Royse City, ISD 0.00% due 8/15/25 Washington 0.00% due 12/01/21 
Travis 4.75% due 3/1/12 PFA Super Conductor 0.00% due 4/01/09 
University Univ 4.8% due 8/15/13 Wylie, ISD 0.00% due 8/15/17 Texas Commerce Bank-Checking 
ABT-Common 
ADViSYS-Common  buy  2/15  buy  4/25  
partial sell  10/26  
gift  12/21  
(12)  
(10) (12)  None None int None int None None div  
None None  

gift tolmfoundation 
partial buy 
private placement 
U(2)
AIF Private Investors LLC 	(2) 
private placement 
partial sell 
private placement 
partial sell 
private placement 
partial sell 
private placement 
partial sell 
private placement 
partial sell 
private placement 
partial sell 
partial buy  6/8  private placement  
partial buy  717  private placement  
partial sell  11114  private placement 	Income/Gain Codes: A=$1,000 less; B=$1,000-$2,500; C=$2,501-$5,000; 0=$5,001-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; G=$100,00I-$1,000,000; H1=$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; =$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more 	Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 
VII. INVESTMENTS AND TRUSTS --income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 oflnstructions). Income during reporting period Gross value end reporting period Transactions during reporting period  
(1) Amt. Code (A-H) (2) Type (e.g., div., rent int.)  (1) Value Code (J-P) (2) Value Method Code (Q-W)  (1) Type (e.g. buy,sell merger, redempti on) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) 
Description Assets 
(including trust assets) 

Place "(X)" after each asset exempt from prior disclosure. 
partial sell pnvate placement 
private placement 
partial sell 
AIF Private Investors LLC (2) (13) U(2) partial buy 
private placement Atlantic Trust Company, N.A. 
partial buy  7/19  private placement  
partial buy  7/27  private placement  
partial buy  9/28  private placement  
partial buy  10/19  private placement  
partial sell  11/14  private placement  
partial buy  11130  private placement  
open acct  10/20  U(2)  partial sell  3/30  private placement  U(2)  partial sell  1/31  private placement  
partial sell  2/28  private placement  

Avalon Advisors, L.P. 
Blackstone Acquisition Partners L.P. 
partial sell 
private placement 
partial sell  4/30  private placement  
partial sell  5/31  private placement  
partial sell  6/30  private placement  

partial sell 
private placement 
partial sell  8/31  private placement  
partial sell  9/30  private placement  
partial sell  10/31  private placement Income/Gain Codes: A=$1,000 less; 8=$1,000-$2,500; C=$2,501-$5,000; D=$5,001-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; G=$100,001-$1,000,000; H1=$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; P1=$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Casb/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Pmon Reporting Date Report 
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. 
Blackstone Acquisition Partners II, L.P. (2) U(2) 
Hatfield Royalty, L.P. (2) U(2) Income during reporting period  Gross value end reporting period Transactions during reporting period (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redempti on) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

partial sell partial sell partial buy partial buy partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell 
partial sell partial sell partial sell 
11/30 12/31 11/21 12/11 1131 2/28 3/31 4/30 5/31 6/30 7/31 8/31 9/30 
10131 
11/30 12/31 1/31 2/28 3/31 
4/30 
5/31 
5/15/2007 
pnvate placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement 

Income/Gain Codes: A=$1,000 less; 8=$1,000-$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; H1=$1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: 1=$15,000 less; K=$!5,001-$50,000; L=$50,001 $100,000; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; PI=$1,000,001-$5,000,000; 
P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated See explanatory footnotes page 34. 

VIL 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. 
Blackstone Ivory Working Interests, L.L.C. (2) 
Name Person Reporting Date Report 
Lee Rosenthal Income during reporting period Gross value end reporting period Transactions during reporting period  
(1) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redempti on) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction) U(2) 
partial sell  6130  private placement  
partial sell  7/31  private placement  
partial sell  8/31  private placement  
partial sell  9130  private placement  
partial sell  10/31  private placement  
partial sell  11130  private placement  
partial sell  12/31  private placement  
partial sell  1131  private placement  
partial sell  2/28  private placement  
partial sell  3131  private placement  
partial sell  4130  private placement  
partial sell  5/31  private placement  
partial sell  6/30  private placement  
partial sell  7/31  private placement  
partial sell  8/31  private placement  
partial sell  9/30  private placement  
partial sell  10/31  private placement  
partial sell  11/30  private placement  
partial sell  12/31  private placement  

511512007 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; G=$100,001-$1,000,000; =$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; =$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 
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. 
Blackstone Ivory Acquisitions Partners, L.P. 	(2) 
Blackstone Overline Acquistion, L.P. 	(2) 
Name Person Reporting Date Report 
Lee Rosenthal Income during reporting period Gross value end reporting period Transactions during reporting period  
(l) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redemption) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

U(2) 
U(2) 
partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell partial sell 
1/31 2/28 3/31 4/30 5/31 6/30 7/31 8/31 9/30 10/31 11/30 12/31 1/31 2/28 3/31 4/30 5/31 6/30 /31 8/31 

5/15/2007 
private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement private placement 	Income/Gain Codes: A=$1,000 less; 8=$1,000-$2,500; C=$2,501-$5,000; 0=$5,001-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; 0=$100,001-$1,000,000; H1=$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; P1=$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Person Reporting Date Report 
VII. INVESTMENTS AND TRUSTS --income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 oflnstructions). 
Description Assets 
(including trust assets) Income Gross value during end 
reporting 	reporting period period Transactions during reporting period not exempt from disclosure 
(1) 
Type 
(2) 
(e.g. 
(2) 
(3)
(I) (I) (5) 
Type  
(e.g.,  
Place "(X)" after each asset  Amt.  div.,  
exempt from prior disclosure.  Code  rent  

buy,sell  
merger,  
Value  redemp- 
Value  Method on)  
Code  Code  

Date: 
Month-
Day 

Value Code (J-P) Gain Code (A-H) Identity buyer/ seller (if private transaction) 
(J-P)
(A-H) int.) 
partial sell  9/30  pnvate placement  
partial sell  10/31  private placement  
partial sell  11/30  private placement  
partial sell  12/31  private placement  

Blackstone Ivory Acquisition Partners, L.P. (direct) roy/rent 
Carbon Nanotechnologies, Inc. 	None U(2) buy 6/21
Carlyle Asia Partners 	(2) (13)  private placement  private placement  private placement  private placement  private placement  gift family foundation  private placement  private placement  private placement  private placement  private placement  

partial buy partial buy partial buy partial buy C-Common div partial sell partial sell 
gift 
CDR Fund VII Private Investors, LLC (2) U(2) partial buy partial sell partial sell partial buy partial sell CVX-Common div partial sell 
7/24 10/25 11/20 12/18 10/26 10/31 12/21 1/19 4/18 7/5 11/6 11/30 10/26 	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; G=$100,001-$1,000,000; H1=$1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: 1=$15,000 less; K=$15,001-$50,000; L=$50,001 $100,000; M=$100,00I-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; =$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Persoo Reporting 
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 period Gross value end reporting period Transactions during reporting period  
(l) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) Value Code (J-P) (2) Value Method Code (Q-W)  (1) Type (e.g. buy,sell merger, redemption) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

Doane Pet Food Enterprises, Inc.  None  escrow release  5/16  pnvate placement  
escrow release  7/13  private placement  
Dresser, Ltd.-Common  None  U(2)  partial buy  1/18  private placement  
partial buy  4/17  private placement  
partial buy  7/27  private placement  
partial buy  10/20  private placement  

 None  (10)  
Emerald Marina Bay  (2)  U(2)  partial sell  4/28  private placement  
partial sell  5/25  private placement  
partial sell  6/20  private placement  
partial sell  7/20  private placement  
partial sell  8/15  private placement  
partial sell  12/31  private placement  
Emerald Cambridge  (2)  U(2)  private placement  
Emerald Marina Cove  (2)  U(2)  private placement  
Emerald Marina Shores  (2)  U(2)  private placement  
EDP  (2)  U(2)  partial buy  2/28  private placement  
partial sell  3/24  private placement  
partial buy  5/22  private placement  
partial buy  9/28  private placement Income/Gain Codes: A=$1,000 less; 8=$1,000-$2,500; C=$2,501-$5,000; D=$5,00!-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; G=$100,001-$1,000,000; H1=$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; M=$100,001-$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=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Person Reporting Date Report 
511512007 
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 period Gross value end reporting period Transactions during reporting period  
(1) Amt. Code (A-H) (2) Type (e.g., div., rent int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Type (e.g. buy,sell merger, redemption)  Ifnot exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

partial buy 11/16 vate placement 
Energy Capital Investors Fund, LLC (2) U(2) buy 10/20 private placement Exopack None
escrow release 3/10 	private placement 
escrow release 3/27 	private placement 
First Reserve Fund XI, L.P	(2) (13) U(2) buy 12111 private placement 
partial buy 12/12 	private placement FNM-Comrnon div sell 4/11 Goldman Sachs Bank int/div open acct 10/31 Goldman Sachs Fairholme Holdings (2) U(2)
buy 	10/31 private placement 
buy 	10/31 private placement 
Goldman Sachs Horizon Holdings 	(2) U(2) 
10/31 private placement GE-Common div partial sell 10/26 Hawkins Investment Partnership (2) U(2) private placement 
Goldman Sachs International Equity Holdings 	(2) U(2) buy int 	escrow release (2) 
(2) U(2) U(2) Income/Gain Codes: A=$1,000 less; 8=$1,000-$2,500; C=$2,501-$5,000; D=$5,00!-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; G=$100,00l-$1,000,000; Hl=$1,000,00!-$5,000,000; H2=$5,000,001 more Value Codes: J=$15,000 less; K=$15,001-$50,000; L=$50,001 $100,000; M=$100,001-$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=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 

Name Person Reporting Date Report 
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. 

HMTF Fund
(2) 
HOS-Common None 
IXC-Common div JNJ-Common div JPMorgan Chase Investment Account int KKR 2006 Private Investors, LLC (2) 
LUY-Common div 

Merrill Lynch Reserves int 
Merrill int 
Lee Rosenthal 
5/15/2007 
pnvate placement 
private placement 
private placement 
private placement 
distribution from SCF 
gift family foundation 

private placement private placement private placement private placement private placement private placement 
gift family foundation Income during reporting period Gross value end reporting period Transactions during reporting period  
(1) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (I) Type (e.g. buy,sell merger, redemption) not exempt from disclosure  
(2) Date: Month-Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

U(2) 
U(2) 

partial sell partial sell partial sell partial sell 
distri 
gift 
partial sell 
buy 
partial sell 
partial buy 
partial sell 
partial buy 
partial buy 
partial sell 
partial sell 
gift 
close acct 

3/27 
717 
10/ll 
10/29 
11/30 
12/21 
10/26 
9/25 
10/31 11/13 
12113 
12/19 
12/20 
4/11 
4/26 
12/21 
10/31 Income/Gain Codes: A=$1,000 less; 8=$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; H1=$1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: J=$ 5,000 less; K=$ 5,001-$50,000; L=$50,001 $100,000; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; =$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Casb/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Person Reporting Date Report 
5/15/2007
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 period period 
Ifnot exempt from disclosure 
(1) 
Type 
(1) (2) 
(1) 
(e.g. 
(2) 
(4)
(3) 
(5) 
Type  
(e.g.,  
Place "(X)" after each asset  Amt.  div.,  
exempt from prior disclosure.  Code  rent  

Value Value Method Code Code 
buy,sell merger, redempti on) 
Date: Month-
Value Day 
Code (J-P) Gain Code (A-H) 
Identity buyer/seller (if private transaction) 
(J-P)
(A-H) int.) 
MRK-Common  div  partial sell  4/11  
sell  10131  
NAGC Acquisition Inc.  None  merger  12/11  exchanged NOA  
NOA-Common  None  merger  12/11  exchanged from NAGC  
Neffis Holdings, LLC  (2)  (13)  U(2)  
New AXIA Holdings, Inc.  escrow release  (2)  private placement  
OIS-Common  None  partial buy  6130  
distri  12/8  distribution from SCF  
gift  12/21  gift ..foundation  
None  (10)  
None  (10)  
OIH-Dep Rcpt  div  partial sell  8/14  
partial sell  917  
sell  9/25  
PEP-Common  div  partial sell  10/26  
PFE-Common  div  partial sell  10/26  
sell  10/31  
PG-Common  div  partial sell  4/11  
partial sell  10/26  
partial sell 0/31 	Income/Gain Codes: A=$1,000 less; B=$1,000-$2,500; C=$2,501-$5,000; 0=$5,001-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; 0=$100,001-$1,000,000; Hl=$1,000,00I-$5,000,000; H2=$5,000,001 more Value Codes: 1=$15,000 less; K=$15,001-$50,000; L=$50,001 $100,000; M=$100,001-$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=$25,000,001-$50,000,000; P4-$50,000,000 more 	Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

Name Person Rrting 
5/15/2007

VIL INVESTMENTS AND TRUSTS --income, value, transactions. 
(Includes those spouse and dependent children; see pp. 34-60 oflnstructions). 
Description Assets  Income  Gross value  
(including trust assets)  during end  Transactions during reporting period  
reporting  reporting  
period  period  

Place "(X)" after each asset exempt from prior disclosure. 
-Zion-Common 
(1) not exempt from disclosure  
Type  
(l)  (2)  (l)  (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  
Amt.  div.,  Value  Method on)  (J-P)  (A-H)  (if private  
Code  rent  Code  Code  transaction)  
(A-H)  int.)  (J-P)  (Q-W)  

#88-1 Trust  div/int  
the beneficiary (3).  
-Merrill Lynch Reserves  closed  10/9  
-Goldman Sachs Bank  opened  10/9  
-VTCLX-Mutual Fund  
-VUSXX-Mutual Fund  
-VWNFX-Mutual Fund  
#88-2 Trust  div/int  
beneficiary (3).  
-Merrill Lynch Reserves  closed  10/9  
-Goldman Sachs Bank  opened  10/9  
-VTCLX-Mutual Fund  
-VUSXX-Mutual Fund div/int 
-ABT-Common -CVX-Common -KO-Common Income/Gain Codes: A=$1,000 less; 8=$1,000-$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; H1=$1,000,001-$5,000,000; H2=$5,000,001 more Value Codes: 1=$15,000 less; K=$15,001-$50,000; L=$50,001 $100,000; M=$100,001-$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=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

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

-Merrill Lynch Reserves -Goldman Sachs Bank -Midway, 5.55% due 05/01 /07 -PEP-Common -PG-Common -RD-Common -VTCLX-Mutual Fund -VTGIX-Mutual Fund -VUSXX-Mutual Fund partial sell 12/21 
partial sell 12/21 partial sell 12121 
-VWNFX-Mutual Fund exchanged 5119 exchanged VWNAX -VWNAX-Mutual Fund exchanged 5/19 exchanged from VSNFX -VEIEX-Mutual Fund buy 12/21 -VEUSX-Mutual Fund buy 12/21 -VP ACX-Mutual Fund buy 12/21 

U.S. Savings Bonds  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; G=$100,001-$1,000,000; H1=$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; P1=$1,000,001-$5,000,000; 
P2=$5,000,001-$25,000,000; P3=$25,000,001-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 

See explanatory footnotes page 34. 

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 period Gross value end reporting period Transactions during reporting period  
(1) (2) Type (e.g., Amt. div., Code rent (A-H) int.)  (1) (2) Value Value Method Code Code (J-P) (Q-W)  (1) Ifnot exempt from disclosure Type (e.g. (2) (3) (4) buy,sell Date: merger, Month-Value Gain redemp-Day Code Code on) (J-P) (A-H)  (5) Identity buyer/seller (if private transaction)  

VUSXX-Mutual Fund  div/int  
VUSXX-Mutual Fund  div/int  
VUSXX-Mutual Fund  div/int  
VUSXX-Mutual Fund  div/int  
VWSTX-Mutual Fund  div/int  
VWSTX-Mutual Fund  div/int  
Merrill Lynch Reserves  int  closed  10/9  
Goldman Sachs Bank  int  opened  10/9  
Merrill Lynch Reserves  int  closed  10/9  
Goldman Sachs Bank  int  opened  10/9  
Merrill Lynch Reserves  int  closed  10/9  
Goldman Sachs Bank  int  opened  10/9  
Merrill Lynch Reserves  int  closed  10/9  
Goldman Sachs Bank  int  opened  10/9 Income/Gain Codes: A=$1,000 less; 8=$1,000-$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; HI=$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; M=$100,001-$250,000; N=$250,001-$500,000; 0=$500,001-1,000,000; P1=$1,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,00l-$50,000,000; P4-$50,000,000 more Value Method Codes: Q=Appraisa R=Cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
See explanatory footnotes page 34. 

(1) 	
Represents right oflto receive pension $255/month commencing age 

65. 

(2) 	
Private companies and private common investment partnerships ("Partnership"). For private companies, valuation based net book value. For Partnerships, valuation based capital account set forth form K-1 and net income (to the extent distributed) reflected distributions under column D(3) and not Column For Partnerships, the amounts shown Column D(3) are the net amount contributions ("buy") and distributions ("sell") for the dates indicated. 

(3) 	
Amounts indicated are aggregate net amounts for entire beneficial interest trust IRA. 

(4) 	
U.S. Savings Bonds are valued stated face value bonds. 

(5) 	
Purchase and sale price regular interest paying bonds excludes accrued interest. Interest income regular interest paying bonds includes accrued interest bought sold. Gain indicated redeemed bonds represents only the redemption amount (and premium, any) excess principal amount. Bond premium paid purchase assumed fully amortized for purposes calculating gain loss sale, redemption maturity regular interest paying bond. 

(6) interest income included Interest Income Column B(l) zero coupon bonds. Total date accreted interest for zero coupon bonds included Value Column C(l maturity zero coupon bonds, total accreted interest included Value Column D(3) and Gain Column D(4). maturity sale zero coupon bonds, Value Column D(3) the maturity value sales price and Gain Column D(4) reflects the difference between the maturity value sales price and the original cost. 

(7) 	
All mutual fund reinvested dividends, interest and capital gains are not separately shown new purchases, but are included the end period (ColumnC(2)) values. All unreinvested distributions from mutual funds (dividends, interest and capital gains) are included Column B(l). 

(8) 	
Municipal and U.S. Treasury bond values reflected Value Column C(2) are based market value. 

(9) transaction value gain loss reported non-taxable exchanges one security for another spin-offs securities stock dividends. Such gain reported when the new security sold. The value such security received included the Column C(l Gross Value. 

compensation. Vested options are valued spread between (1) exercise price and (2) market value the case publicly traded 

securities exercise price the case nonpublic securities. Unvested options are given value. Restricted stock not valued during restriction period. After restrictions lapse, restricted stock reflected owned shares. 
Oil and Gas royalties -value not known filer. 
(12) 
Private company -value not known filer. 

(13) 
K-1 not available time filing. 
Name Person Reporting 
Date Report 

ROSENTHAL, LEE 0511512007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReporl) 
IV. REIMBURSEMENTS (CONT'D) 
11/15-16/2006: Georgetown Law Center, Washington, DC, Hotel, Airfare Ground Transportation 

Name Person Reporting 
Date Report 
ROSENTHAL, LEE 
05/15/2007 
IX. CERTIFICATION. certify that all information given above (including information pertaining spouse and minor dependent children, any) accurate, true, and complete the best knowledge and belief, and that any information not reported was withheld because met applicable statutory provisions permitting non-disclosure. further certify that earned income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C. app.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations. 

NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE THIS REPORT MAY SUBJECT CIVIL AND CRIMINAL SANCTIONS U.S.C. app.  104) 

FILING INSTRUCTIONS 
Mail signed original and additional copies to: 
Committee Financial Disclosure Administrative Office the United States Courts Suite 2-301 One Columbus Circle, N.E. Washington, D.C. 20544



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