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Judicial Watch • Lee H Rosenthal Financial Disclosure Report for 2010

Lee H Rosenthal Financial Disclosure Report for 2010

Lee H Rosenthal Financial Disclosure Report for 2010

Page 1: Lee H Rosenthal Financial Disclosure Report for 2010

Category:Financial Disclosure

Number of Pages:24

Date Created:November 9, 2013

Date Uploaded to the Library:November 13, 2013

Tags:Rosenthal, Lee H Rosenthal, ATF, partial, Appraisal, Assessment, mutual, Estate, Gross, 2010, Market, EPA, transactions, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978
Rev. 112011 
FOR CALENDAR YEAR 2010 U.S.C. app.  101-IJJ) Persoa Reportia (Jut ll!IDMt first, middle lllltlal) Court Orca11lzatlo11 
ROSENTHAL, LEE U.S.D.C.-SD.TX Tide (Article Judel btdlcate active senior status; Report Type (check approptjllta type) 
magistrate judges indicate 1WJ. part-time) 
Nomination, Date 
U.S.DISTRICT JUDGE-ACTIVE 
Initial Annual Final 
Amelldcd Report Date Report 
08/12120 
'Reporting Period 
0110112010 
12131/2010 Cllambert Office Addres Oil the bl!JI the lnfo1'11Jatloll co11t8.lned thl.s Report and any m4)Cllflo111 pert81aln1 thereto, Is, oplllloa, compliance with appllcable lawnad regulatlom; 
515RUSK 
ROOM 11535 HOUSTON, TEXAS 77002 
RevliW!Di om.er Date 
IMPORTANT NOTES: The instructions 11ccomp11nying thbfonn m11St followed. Complete 1111JllltU, checking the NONE box/or e11ch part where you have reportllble in/onnadon. Sign lastpage. POSmONS. (Ripbrtlllgbu/Mdiullonly;supp. 9-IJofjlllngtnstractuln) NONE (No reportable positions.) 
MEMBER, BOARD TRUSTEES THE KINKAID SCHOOL 
MEMBER, BOARD OVERSEERS THE RAND INSTITUTE FOR CIVIL JUSTICE 

MEMBER, BOARD TRUSTEES RICE UNIVERSITY MEMBER, BOARD TRUSTEES CENTER FOR AMERICAN AND INTERNATIONAL LAW 
II. GREElfENTS. (Reporting bulif1l4U!ll l!nly; pp. U-16 t!f ft/illg lnstrlldUms.) 
[{] NONE (No reportable agreements.) 

Rosenthal, Lee Filer's Non-Investment Income NONE (No reportable non-investment income.) 

(yours, not spouse's) 
2010 	UNIVERSITY HOUSTON LAW FOUNDATION $3,200.00 2010 
2.2010  PENN STATE LAW SCHOOL  MARCH 25-26, 2011  PHILADELPHIA,  PANELIST  AIRFARE GROUND TRANSPORTATION  DEFENSE RESEARCH INSTITUTE  APRIL 6-7, 2011  LAS VEGAS,  PANELIST  AIRFARE, MEALS GROUND TRANSPORTATION  SEDONA CONFERENCE  APRIL 7-9, 201  PHOENIX,  PANELIST  AIRFARE, MEALS GROUND TRANSPORTATION  

AMERICAN BAR JUNE 17-19, 2011 WHISTLER, CANADA SPEAKER AIRFARE, MEALS GROUND ASSOCIATION TRANSPORTATION 	AMERICAN LAW SEPTEMBER 11-12, PHILADELPHIA, ADVISERS MEETING AIRFARE, HOTEL GROUND INSTITUTE 2011 TRANSPORTATION  AMERICAN LAW INSTITUTE  OCTOBER 2022, 2011  NEW YORK,  COUNCIL MEETING  AIRFARE, HOTEL GROUND TRANSPORTATION  UNIVERSITY TEXAS LAW SCHOOL  NOVEMBER 2-3, 2011'  AUSTIN,  SPEAKER  AIRFARE GROUND TRANSPORTATION  GEORGETOWN UNIVERSITY LAW SCHOOL  NOVEMBER 17-19, 2011  WASHINGTON,  PANELIST  AIRFARE, MEALS GROUND TRANSPORTATION  LAWYERS FOR CML JUSTICE  DECEMBER 2011  NEW YORK,  SPEAKER  AIRFARE GROUND TRANSPORTATION  
10.  YALE LAW SCHOOL  DECEMBER 23, 2011  NEW VEN,  SPEAKER  AIRFARE GROUND TRANSPORTATION  
11.  GEORGE MASON UNIVERSITY  DECEMBER S-6, 2011  WASHINGTON, BAKER  AIRFARE GROUND TRANSPORTATION 

VI. LIABILITIES. (lncliufu those of!p!JU# llltddepatdcntchllllnn; cpp. 32-33 filing lnslrctU>ns.) 
[{] NONE (No reportable liabilities.) 

VII. INVESTMENTS AND TRUSTS -income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 Instructions). Description Assets (including trust assets) Income during reporting period Gross value atend reporting period Transactions during reporting period (1) not exempt from disclosure Type  

Place "(X)" after each asset exempt from prior disclosure.  (1) Amt. Code (A-H)  (2) Type (e.g., div., rent int.)  (1) Value Code (J-P)  (2) Value Method Code  (e.g. buy,sell merger, redemption)  (2) Date: Month-Day (2)  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

Goldman Sachs Bank  div/int  closed  7f2  
Amegy Bank Account  int  
AliefTX ISD 5.60% due 2/15/14  int  redeem  2/16  
Arkansas College 0.00% due 6/l/15  None  
Austin Wtr 5.00% due 5/15/35  int  buy  ins  
Azle ISO 0.00% due 2/15/14  None  
Bexar Cty, 5.25% due 6/15/23  int  
Brazos Cty, 5.00% due 9/1/25  int  
Chicago Brd 0.00% due 12/1/19  None  
Clackamas Cmty Col 5.25% due 6/15/  int  
College Station ISD 4.6250% due 9/15/20  int  
Dallas. 5.00% due 2/15/24  int  buy  6/l4  
Denton, ISD 0.000/0 due 8/15/23  None  
District Columbia 5.00% due 611/17  int  
Ft. Bend ISD 0.000/o due 8/15/15  None  
Grand Prairie, ISD 0.00% due 8/15/33  None  
Grapevine-Colleyville ISO 0.00% due 8/15/23  None  
Harris Cty, TX, 3.25% due 10/1/12  int  
Harris Cty, TX, 5.75% due 10/1/14  int  
Harris  TX, 5.00% due 10/1/19  int Income/Gain Codes: A=Sl,000 less; B=Sl,000-$2,500; C-$2,501-$5,000; 0=$5,001-$15,000; E=Sl5,001-$50,000; F=$50,001-$100,000; G=Sl00,001-$1,000,000; Hl=Sl,000,001-$5,000,000; H2=More than $5,000,000 Value Codes: J=$15,000 less; K""S15,001-S50,000; L=$50,00I $100,000; M=Sl00,001-$250,000; N-$250,001-$500,000; 0=$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; P2=$5,000,001-$25,000,000; P3=$25,000,001-S50,000,000; P4-S50,000,000 more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); SAssessment; T=-Cash/Market; U=Book Value; V=Otber; W=Estimatcd 
Sec explanatory footnotes page 22. 

8/1212011 
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 Code3 (J-P) (Q-W)  (1) Type (e.g. buy.sell merger, redemption) not exempt from disclosuze  
(2) Date: Month Day  (3) Value Code (JP)  (4) Gain Code (AH)  (5) Identity buyer/seller (if private transaction) 
(2)  

Harris Cty, TX, 5.75% due 10/1/20  int  
Houston, ISD 5.00% due 2/15122  int  
Houston, Wtr-Swr 5.50% due 12/1/11  int  
Houston, Wtr-Swr 5.00/o due 12/1130  int  
Houston, Pub lmpt 5.375% due 3/1/15  int  
Houston, Pub Impt 5.00% due 3/1/20  int  
Laredo ISD 0.00% due 08/01/23  None  
Leander ISD 0.00% due 8/15/20  None  
Leander ISO 0.00% due 8/15122  None  
Leander ISO 0.00% due 8/15/23  None  
Leander ISO 0.00%1 due 8/15125  None  
Lewisville ISD 0.00% due 8/15121  None  
Massachusetts Ons 5.25% due 11/1/30  int  
Massachusetts Sp! Obg 5.00% due 6/1/21  int  
Mesquite ISD 0.000/o due 8/15/32  None  buy  812  
Midlothian ISD 0.000/o due 2/15122  None  
New Haven, Schs 5.25% due 5/1/22  int Value Codes: J=SlS,000 less; K=SlS,001-$50,000; L,.;$50,001 $100,000; M=Sl00,001-$250,000; NS250,00lSSOO,OOO; 0=$500,001-1,000,000; Pl=$l,000,00l-$,000,000; Income/Gain Codes: A-$1,000 less; B=SI,000-$2,500; C=$2,501-$5,000; O-SS,001-$15,000; E=SIS,001-$50,000; FSS0,001-$100,000; 0=$100,001-$1,000,000; Hl=$!,000,001-$S,000,000; H2=More than SS,000,000 Value Codes: J=SlS,000 less; K=SlS,001-$50,000; L=SS0,001 $100,000; M=$100,001-$2SO,OOO; N=$250,001-$500,000; OaSS00,001-1,000,000; Pl=$1,000,001-$S,OOO,OOO; P2=$S,000,001-$2S,OOO,OOO; 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=Estimatecl 
See explanatory footnotes page 22. 
Schertz-Cibolo-Unvl City, 0.00% due 2/1/24 Schertz-Cibolo-Unvl City, O.OOo/o due 2/1/25 Snohomish Cty ISD 5.25% due 1211/24 ofFlorida6.375%due 7/1112 Illinois 5.00% due 6/1122 Washington 0.00% due 12101/21 Texarkana. ISD O.OOoA> due 2115/26 Water Dev S.00% due 10/1/23 University Univ 5.25% due 7/1121 Weatherford, ISD 0.00% due 2115/28 Wylie, ISO 0.00% due 8/15/17 Wylie, ISO 0.00% due 8/15/19 Wylie, ISO 0.00% due 8/15/23 Morgan Chase-Checking HSA Bank Merrill Lynch Reserves (SP) Amegy Bank Account Amegy Bank Account (SP) American Express Bank, FSB AIF Private Investors LLC AIF Private Investors LLC )(a) 
(l)(a) 
combined with Line Aroegy Bank 11 
VII. 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 
Ifnot exempt from disclosure 
(1) 
Type 
(2) 
(3) (4)(1) 
(2) 
(e.g. 
buy,sell merger, Value 
redemp-
Date:  
Month Value  Gain  Identity  
Day  Code2  Code  buyer/seller  

(J-P) (AH) 
(if private 
Place "(X)" after each asset 	Amt. 
Method 
tion) 
exempt from prior disclosure. 	Code 
transaction)
Code3 
(2)
rent 
(A-H) int.) (Q-W) 
II,  (1)  U(l)  partial buy  1/6  
partial buy  3122  
partial buy  7/16  
partial sell  4/13  

partial sell 
 GP,LP  (1)  U{l)  partial buy  3122  
partial buy  7/16  
partial buy  7129  
partial sell  4/13
partial sell U(l) partial buy 12110 U{l)
(1) 
(1) U(l) (1) U{l) (1) U(l) (1) U(l) (1). U{l) U(l) U{l) 

(1) U(l) Income/Gain Codes: A=$1,000 less; B=$1,000-$2,500; C=$2,501-$5,000; D=S5,001-S15,000; E=S15,001-S50,000; F=S50,00l-Sl00,000; G=S100,001-$1,000,000; Sl,000,001-$5,000,000; H2=More than $5,000,000 Value Codes: J=S 15,000 less; KS 15,001-$50,000; L=$50,001 S100,000; MSI 00,001-$250,000; N=S250,001-$500,000; 0=$500,001-1,000,000; l,000,001-$5,000,000; P2=$5,000,00l-S25,000,000; P3=S25,000,00l-$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 22. 
VII. 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  
eriod  eriod  

(1) Ifnot exempt from disclosure 
Type 
(2) (2) (e.g. (2) (3) (4) 
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 (2) transaction) 
(A-H) int.) 
Q-W) 
(1) U(l) 

(1) U(l) 

(1) U(l) div/int Sternhill Affiliates (1) U{l) Sternhill Partners (1) U(l) CapStreet II, (1) U(l) sell (1) 
distribution SflS distribution filer 
CapStreet Parallel II, 	(1) U(l) sell 
distribution filer distribution SflS Morgan Chase-Checking, Houston, int Morgan Chase-Checking, Houston, TX-S int 
TROW-Common div 
VIG-ETF div buy 9/8 partial buy 9fl0 
partial buy 1219 VWNAX-Mutual Fund div/int sell 9/23 VMSXX-Mutual Fund div/int VTCLX-Mutual Fund div/int 	Income/Gain Codes: A-$1,000 less; BSl,000-$2,500; $2,501-$5,000; D-$5,001-$15,000; E=$15,001-$50,000; F=$50,001-$100,000; G=SI00,001-$1,000,000; Hl=Sl,000,001-$5,000,000; 
 
H2==More than $5,000,000 	Value Codes: J==Sl5,000 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=$1,000,00h$5,000,000; P2S5,000,001-$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); SaAssessment; T=Cash/Market; U=Book Value; V=Other; W=Estimated 
Sec footnotes page 22. 
VII. 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  
(1) not 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  (2)  transaction)  
(A-H)  int)  (J-P)  
VUSXX-Mutual Fund  div/int  
VWLUX-Mutual Fund  div/int  partial sell  11/16  
partial sell  11/16  
sell  11116  
VLCAX-Mutual Fund  div/int  
WLR Recovery Investors, LLC  (1)  U(l)  buy  (!)  
Certain LLC 1/18  (13)  U(l3)  
Certain Limited Partners l/39  (13)  U(13)  
Certain Limited Partners 2/54  
-Elliott Associates, L.P.  (1)  U(l)  buy  (13)  
-West Cam, L.P.  (13)  U(l3)  sell  (13)  
-MPGEO,LLC  (13)  U(13)  sell  (13)  
Certain LLC 2/54  
-Elliott Associates, L.P.  (1)  U(l)  buy  (13)  
-West Cam,L.P.  (13)  U(13)  sell  (13)  
-MPGEO,LLC  (13)  U(I3)  sell  (13)  
IRA (2)  div/int  TIU Treasury Zero% Obligations  
Goldman Sachs Bank  closed  6110  
Merrill  Cash Reserves Income/Gain Codes: A=Sl,000 less; B=-Sl,000-$2,SOO; C=S2,S01-SS,OOO; D=SS,001-$15,000; E=S.lS,001-SSO,OOO; F.,;$50,001-$100,000; 0=$100,001-$1,000,000; Hl=$1,000,001-$S,OOO,OOO; H2=More than SS,000,000 Value Codes: J=Sl 5,000 less; K=$1S,OO l-$50,000; L$50,00 100,000; M=$ 00,001-$250,000; N-$250,001-$500,000; O=SSOO,O(H-1,000,000; =Sl,000,001-$5,000,000; P2=SS,000,001-$25,000,000; P3=S2S,000,001-$50,000,000; P4-$SO,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 foomotes page 22. 
VII. INVESTMENTS AND TRUSTS --income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 Instructions). Description Assets (including trust assets) Income during reporting  Gross value end reporting period Transactions during reporting period  

Place "(X)" after each asset exempt from prior disclosure. 
(1) Type not exempt from disclosure  
(1) Amt.  (2) Type (e.g., div.,  (1) Value  (2) Value Method  (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) 
Code  rent int.)  Code  (J-P)  Code  (2)  

Amegy Bank Account  
VUSXX-Mutual Fund  
IRA #2(2)  div/int  TIU  
Merrill Lynch Cash Reserves Treasury Zero% Obligations Treas Zero% due 11/15/10  matured  llllS Treas 2.375% due 1/15/17  
ADP-Common Stock  sell  4112  
Amegy Bank Account  
CB-Common Stock  
DEO-Common Stock  
FAIRX-Mutual Fund  
Goldman Sachs Bank  closed  11119 Liberty Harbor  
Hawkins Investment Partnership, L.P.  
SJKI-Common Stock  
VUSXX-Mutual Fund  
VGELX-Mutual Fund  sell  41S  
VMMXX-Mutual Fund  
WRI-lnvestors Shares  
VIG-Common  9/8 Incomc!Gain Codes: A=Sl,000 less; B=Sl,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'=Sl,000,001-$5,000,000; H2=More than $5,000,000 _Value Codes: JSl5,000 less; Km$15,001-$50,000; L=$50,001 $100,ooo; M=Sl00,001-$250,000; N=$250,00I-$500,000; 0-$500,001-1,000,000; Pl=Sl,000,001-$5,000,000; P2=$5,000,00I-$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 22. 
NomeofPcrrooRqlortina llllcor 
VII. 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 atend Transactions during reporting period 
reporting reporting 

(1) not exempt from disclosmc Type 
(3) (4) (5)
(1) (2) (1) (2) (e.g. (2) 
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) 
(if private 
exempt from prior disclosure. 
Foundation (terminated December 2010) Merrill Lynch Cash Reserves AmegyBanlc ADP-Common CB-Common Fairholme-Mutual Fund LUY-Common VWNAX-Mutual Fund VUSXX-Mutual Fund VMMXX-Mutual Fund WRI-Investors Shares The Tl'llst (2) -John Hancock Life Policy Equity Income -ING/Security Life Policy AIM Core Equity -Prudential Life Paid Policy The XYZ Trust (2) -AIF Private Investors LLC 
 	-AIF Private InvestorsLLC -Atlantic Trust Company, N.A. -Avalon Advisors, L.P. 
Code (A-H) 
rent int) 
div/int int div div div/int div div/int div/int div/int div None 
div/int/royal 
Code Code3 TIU 
transfer close 
scU 
transfer transfer transfer transfer transfer transfer sell 
(I) 
(a) 

(1) 
(a) 

sell (2) 
12117 10/19 
4/S 
11/3 11/3 11/3 1112 1112 1112 4/S 

transaction) 
Donor Advised Fund 
Donor Advised Fund Donor Advised Fund Donor Advised Fund Donor Advised Fund Donor Advised Fund Donor Advised Fund Income/Gain Codes: A-Sl,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-$100,000; G.,:$J00,001$l,000,000; Hl=Sl,000,001-$5,000,000; H2=More than $5,000,000 Value Codes: JSIS,000 less; K=SIS,001-$50,000; L-SS0,001 $100,000; Ma$100,001-$250,000; N,;.$250,001-'$500,000; 0=$500,001-1,000,000; Pl=Sl,000,001"$5,000,000; P2=$S,000,001-$2S,OOO,OOO; P3=$2S,000,001-$50,000,000; P4-SSO,OOO,OOO more Value Method Codes: Q=Appraisal; R=Cost (Real Estate Only); S=Assessment; T--Cash/Market; U=Book Value; V=Other; WEstimated 
Sec explanatory footnotes page 22. 
Lee Rosenthal 
811212011 
VII. INVESTMENTS AND TRUSTS --income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 oflnstructions). Description Assets (including trust assets)  Income during reporting  Gross value end reporting Transactions during reporting period  

Type not exempt from disclosure: 
(1) (2) 
(e.g. (3) 
(4)(1) (5) 
buy,sell Date: 
Type 
merger, 
Gain Identity 
Month-Value 
(e.g., Value 
redemp-Day Code 
Code buyer/seller 
Place "(X)" after each asset 
Amt. div., Value Method 
tion) 
(A-H) (if private 
(J-P) 
transaction)
exempt from prior disclosure. 
Code rent Code Code 
(Q-W)
(A-H) int.) -Arrowhead Research Corp -Carlyle Asia Partners 
(1) 
(a) 

(1) 
(a)
CDR Fund VII Private Investors, LLC 
-Emerald Cambridge LLC -Emerald Marina Cove LLC -Emerald Marina Shores LLC -Energy Capital Investors Fund, LLC -EQIX-Common 
-FDC Group McKinney, Ltd. -First Reserve Fund XI, L.P. -First Reserve Fund XII, L.P. -Goldman Sachs Accts 
buy 
distribution distribution 
sell buy 
(1) S/2S Sl2S 
(1) 

(1) 

distribution from CapStrect L.P. distribution om CapStreet Parallel ,U. L;P;
Goldman Sachs KMI Investors, L.P. sell 
-Goldman Kellet  (1) (a) 
-Hawkins Investment Partnership, L.P. 
-HMTF Fund sell 
(1) 
-HMTF Europe Private Fund 
-IYK 
-Chase Investment Account 
Income/Gain Codes: ASl,000 less; BmSl,000-$2,500; C=S2,501-$5,000; D=SS,001-$15,000; E"'$15,001-$50,qoo; F=SSO,OOI-$100,000; CF=SlOO,OOl.;$1,000,000; H1=$1,000,001$5,000,000; 
H2=More than $5,000,000 Value Codes: J$15,000 less; Km$15,001-$50,000; L-SS0,001 $100,000; $100,001-$250,000; N=$250,001-$SOO,OOO; o;o.5500,001-1,qoo,ooo; Pl=Sl,000,001 $5,000,000; 
P2"'$5,000,001-$25,000,000; P3=$2S,OOO,OO 1-$50,000,000; P4-$SO,OOO,OOO more Value Method Codes: Q=Appraisal; R-Cost (Real Estate Only); S=Assessment; T=Cash/Market; UBook Value; V=Other; W=Estimated Sec explanatory footnotes page 22. 
Namcof Rcpodiog. 
 
VII. 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 
(1) Ifnot exempt from disclosure 
Type 
(l) (2) (e.g. (3) (4) (5)
(1) 
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) 
(A-H) 
(if private 
exempt from prior disclosure. Code rent 
Code Code (2) 
transaction) 
(A-H) int.) 
(Q-W) 
-KK.R 2006 Private Investors, LLC )(a) -Merrill Lynch Reserves -Neffis Holdings, Inp. -Platform Partners LLC sell (1) -SCF-IV-31, L.P. sell (1) 
SCFV,L.P.  sell  
SCF VI, L.P.  buy  
SCF VII, L.P.  buy
(l)
-Seminole (13)(a) 
buy (1) -Sternhill Partners -Stemhill Affiliates -SJKI-Common
SRE Properties, sell 
sell-CapStreet II, 
distribution XVZ
disttibution 
sell M-CapStreet Parallel II, 
distribution XYZ
distribution 5125 
Income/Gain Codes: A=Sl,000 less; 8=$1,000-$2,SOO; C=$2,501-$5,000; D=$5,001-$1S,OOO; E=$15,001-$50,000; F=SS0,001-$100,000; 0=$100,001-$1,000,000; =Sl,000,001-$5,000,000; H2=More than $5,000,000 Value Codes: J=SlS,000 less; K=SlS,001-SSO,OOO; L=SS0,001 $100,000; M=$100,001-$2SO,OOO; N=$250,001-$SOO,OOO; O=SS00,001-1,000,000; Pl=Sl,000,00I-$5,000,000; 
P2=$S,000,001-$2S,000,000; P3=$2S,000,001-$50,000,000; P4-$S0,000,000 more Value Method Codes: Q-Appraisal; R=Cost (Real Estate Only); SAssessment; T=Cash/Market; U=Book Value; V=Oiher; W=Estimated See explanatory footnotes page 22. 
VII. INVESTMENTS AND TRUSTS -income, value, transactions. (Includes those spouse and dependent children; see pp. 34-60 oflnstructions).  
Description Assets (including trust assets)  Income during reporting  Gross value end reporting Transactions during reporting period  

Ifnot exempt from disclosun: 
Type 
(1) (2) (I) (2) 
(3)
(e.g. (2) 
buy,sell Date: 
(5) 
Type merger, Month(e.g., Value redemp-Day Place "(X)" after each asset Amt. div., Value Method on) exempt from prior disclosure. Code.I rent Code Codc3 (2) (A-H) int.) (J-P) (Q-W) 
-Certain Limited Partners 1/39 
-Certain Limited Partners 2154 -Elliott Associates, L.P. buy (13) -West Cam, L.P. sell (13) -MPGEO,LLC sell (13) 
-VEA 
-VUSXX-Mutual Fund -VTGLX-Mutual Fund sell 9(}.3 -VTCLX-Mutual Fund partial sell 9/23 
-VMSXX-Mutual Fund -VGTSX-Mutual Fund -WLR Recovery Investors, LLC buy (I) Trust (R8) (2) div/int -Merrill Lynch Reserves -Amegy Bank Account 
-IYK -VIG buy 9/23 -VTCLX-Mutual Fund -VTGLX-Mutual Fund -VUSXX-Mutual Fund 
Value Code (J-P)  Gain Code (A-H)  Identity buyer/seller (if private transaction)  all Trust (RS) assets transferred he.re Income/Gain Codes: A=Sl,000 less; 8=$1,000-$2,SOO; C=$2,S01-$S,OOO; D=SS,001-$15,000; E-$15,001$50,000; F""SS0,001;$100,000; Qs$100,001-$1,000,000; Hl.,$l,000,001-$S,OOO,OOO; H2=More than $5,000,000 Value Codes: J=$15,000 less; K=$15,001-$50,000; L-SS0,001 $100,000; M=SI00,001-$250,000; N$250,001-$500,000; 0=$500,001-1,000,000; P1=$1,000,001"$S,000,000; P2=$S,000,001-$2S,000,000; P3=$25,000,001-SSO,OOO,OOO; P4-$S0,000,000 more Value Method Codes: Q=Appraisal; R=cost (Real Estate Only); S=Assessment; T=Cash/Market; U=Book Value; V-=Other; W=Estimated 
Sec explanatory fooblotcs page 22. 
',; 
8/1212011 
VII. 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 
Place "(X)" after each asset exempt from prior disclosure. 
(1) Type not exempt from disclosure  
(1) Amt  (2) Type (e.g., div.,  (1) Value  (2) Value Method  (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) 
Code (A-H)  rent int)  Code (J-P)  Code3 (Q-W)  (2)  

-VMSXX-Mutual Fund  
-VWNFX-Mutual Fund Trust (l/8) (2)  div/int  
-Merrill Lynch Reserves  
-VTCLX-Mutual Fund  
-VUSXX-Mutual Fund  
-VMSXX-Mutual Fund  
-VFINX-Mutual Fund  conversion  516  converted VFIAX  
-VFIAX-Mutual Fund  conversion  516  converted from VFINX Trust (RS) (2)  div/int  trust tenninatcd 2010  
-Merrill Lynch Reserves  all Trust (RS) assets transferred  
-Amegy Bank Account Trust (RS)  
-IYK  
-VTCLX-Mutual Fund  
-VTGLX-Mutual Fund  
-VMSXX-Mutual Fund  
-VUSXX-Mutual Fund  
U.S. Savings Bonds (3)  None  
VUSXX-Mutual Fund  div/int  
VMSXX-Mutual Fund  div/int Income/Gain Codes: A=Sl,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; Hl=Sl,000,001-$5,000,000; H2=More than $5,000,000 Value Codes: J=$15,000 less; K=$15,001-$50,000; L-$50,001 $100,000; M=SI00,001-$250,000; N$250,001-$500,000; 0=$500,001-1,000,000; Pl=Sl,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=CashlMfket; U=Book Value; V"'0ther; W=Estimated 
Sec explanatory footnotes page 22. 
VII. 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  atend  Transactions during reporting period  
reporting  reporting  
period  period  
(1) not exempt from disclosure  
Type  

(1)  (2)  (1)  (2)  (e.g.  
buy,sell  
Type  merger,  
(e.g.,  Value  redemp- 
Place "(X)" after each asset  Amt.  div.,  Value  Method  tion)  
exempt from prior disclosure.  Code  rent  Code  Code  

(2)  (3)  (4)  (5)  
Date:  
Month- Value  Gain  Identity  
Day  Code  Code  buyer/seller  
(2)  (J-P)  (A-H)  (if private transaction)  

(A-H) 
VUSXX-Mutual Fund div/int 
VMSXX-Mutual Fund div/int 
Amegy Bank Account int 
VUSXX-Mutual Fund div/int 
VMSXX-Mutual Fund div/int 
Amegy Bank Account int 
VUSXX-Mutual Fund div/int 
VMSXX-Mutual Fund div/int 
Amegy Bank Account int 
Merrill Lynch Reserves div/int 

Merrill Lynch Reserves div/int 
-VEU div 
MOC div 
Merrill Lynch Reserves div/int 
Merrill Lynch Reserves div/int 
JPM Chase Checking int 
JPM Chase Checking int Income/Gain Codes: A=S l,000 less; B=S ,000-$2,500; C=$2,501-$5,000; 0-$5,001-$15,000; E=S 15,00 $50,000; F-$50,001-$100,000; 0=$100,001 $1,000,000; Ht:$1,000,001-$5,000,000; H2==More than $5,000,000 Value Codes: J-$15,000 less; K=S15,001-SS0,000; L=$50,001 $100,000; M=Sl00,001-$250,000; N=$250,00l-$500,000; 0=$500,0011,000,000; Pl=Sl,000,001$5,000,000; P2=$5,000,00l-$25,000,000; P3=$25,000,00l-$S0,000,000; 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 
Sec explanatory footnotes page 22. 

(1) 	
Private entities including private company investment partnerships. For private companies, valuation based net book value. For such entities, valuation (Column C(2)) based capital account set forth form K-1 and income and gain included (to the extent distributed) net cash paid received (as described below) under column D(3) and not Column Band/or Column D(4). Where filer passive owner with control over investments timing calls distributions, such cash distributions and calls are set forth Column D(3) net aggregate amount for the reporting period. "Buy'' indicates net cash paid into the entity and "sell" indicates net cash paid entity filer. 

(1) (a) connection with Footnote (1) private company investment partnerships, absence receipt K-1 filer filing date, information provided income, gross value transaction values. 

(2) 	
Amounts indicated are aggregate net amounts for entire beneficial interest trust IRA. 

(3) 	
U.S. Savings Bonds are valued stated face value bonds. 

(4) 	
Purchase and sale price regular interest paying bonds excludes accrued interest. Interest income regular interest paying bonds excludes accrued interest bought sold. Gain indicated redeemed bonds represents only the redemption amount (and premium, any) excess principal amount. Bond premium discount purchase assumed fully amortized for purposes calculating gain loss sale, redemption maturity regular interest paying bonds, and such amortization does not affect interest reported annually. 

(5) 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). maturity, redemption, sale zero coupon bonds, Value Column D(3) the maturity value, redemption price, sales price and Gain Column D(4) reflects the difference between the maturity value, redemption price, sales price and the original cost. 

(6) 	
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). Money market mutual funds set forth aggregate dividend/interest paid for year and end year value only. 

(7) 	
Municipal and U.S. Treasury bond values reflected Value Column C(2) are based market value. 

(8) transaction value gain loss reported non-taxable exchanges one security for another spin-offs securities stock dividends. publicly traded, the value the date the transaction when such security received reflected Column C(l) Gross Value. instances noted first sentence, any gain reported only when the new security sold. 

(9) 
received options for 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. 

(10) 	
Oil and Gas interests -value not known filer. 

(11) 	
Private company-value not known filer. 

(12) 	
Inadvertently omitted prior year report. 

(13) 	
Passive oil, gas seismic investment -treated Footnote (I) (1) (a) [see above] holding. 

Name Penon Report1n1 
Date Report 
ROSENTHAL, LEE 
08/12/2011 
IX. CERTIFICATION. certify that all Information given above (lndudlng Information pertaining ipOUSe and minor dependent children, any) accurate, true, and complete the best knowledge and bellef, and that any Information not reported was withheld because met appllcable statutory provisions permitting non-disclosure.  further certify that.earned Income from outside employment and bonorarla and the acceptance gifts which have been reported are compUance with the provisions of5 U.S.C. app.  501 et. seq., U.S.C.  7353, and JudlclaJ Conference regulations. 
NOTE: ANY INDMDUAL WHO KNOWINGLY AND WILFULLY FALSIFIES FAILS FILE TffiS REPORT MAY SUBJECT CML AND CRIMINAL SANCTIONS U.S.C. app.  104) 
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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