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Judicial Watch • Lee H. Rosenthal – 2003

Lee H. Rosenthal – 2003

Lee H. Rosenthal – 2003

Page 1: Lee H. Rosenthal – 2003

Category:Federal Judges

Number of Pages:31

Date Created:February 3, 2005

Date Uploaded to the Library:December 11, 2014

Tags:VUSXX, placement, Lee H Rosenthal, private, partial, mutual, Gross, 2003, transactions, TRUSTS, Codes, disclosure, reporting, report, Federal Judge, 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 r-.,, o(l)Z c::l> :::oz c:::>c:::> ..:: V:> rrI 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 ofK and gain code 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 (contd) 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 
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 cuhange VUSXX lncomoOain 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 COMMlITEE 
DIRECTOR 	DEPECHIN CHllDRENS CENTER 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 offiling instructions) 
 NONE -(No reportable agreements.) r-TI O::;; c:> .:::o 
())#-.;.. 
-.,, l1 
 
 
III. NON-INVESTMENT INCOME. (Reporting individual and spouse; see pp. 17-24 filing instructions) Filers Non-Investmentlncom 
 NONE -(No reportable; non-investment income.) Spouses 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 laMl 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 tom 
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) 
IRAs 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; HlSl,000,001-SS,OOO,OOO; H2=$5,000,001 more Value Codes: J=Sl5,000 less; KSl5,001-$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 
9Fou11datlon 
Merrill Lynch Cash Reserves int 
VWNAX-Mutual Fund div/int 
VUSXX-Mutual Fund div/int 
 
 
NllllG Pcnoo .Rqonliia Dalo olllcpa=$5,001-$15,000; BSlS,001-$50,000; F$50,001-$100,000; G=SI00,001-$1,000,000; Hl=Sl,000,001-$5,000,000; H2$5,000,001 more Value CLC111pt 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; GSI00,001-$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; MSI00,001-$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 
 
VIlL ADDITIONAL INFORMATION EXPLANATIONS certify that all infonnation 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 earne income from outside employment and honoraria and the acceptance gifts which have been reported are compliance with the provisions U.S.C.  501 et. seq., U.S.C.  7353, and Judicial Conference regulations.