Lee H Rosenthal Financial Disclosure Report for 2010

8/3/2019 Lee H Rosenthal Financial Disclosure Report for 2010

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~01oRev . 1 /2011 I FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 2010 Report Required by the Ethicain Government ,4ct o f 1978( .~ U .S .C . app. ~O~-H~ )1. Perum Repor~g ( l~ t name, f i r s t , middle ini t ia l )

R O S E N T H A L , L E E H .4 . T i t l e ( A r t i e 1 1 1 j u d g e s i a d l e a t e * i c t t v e o r s e u l o r ~ t a t a s ;m a s ~ s t r a t e j u d g e s i n d i c a t e f u l l - o r p a r t - t i m e )U . S. D I ST RI C T JU D G E - A C T I V E

7. Cbamber~ or Office Address5 1 5 RU SKR O O M 1 1 5 35HOUS T ON, T E XAS 7 7 0 0 2

2. Ceu~ or Organization.U.S.D.C.-S.D.TX

] Nomi~tio~ D a t e[] Initial [] Annu~l [] Final

Oa tht b~ls of the iaform~ti0n coataiaed ia th!s Report and saymodifications pertaining thereto, it is, ia my opinion, in: ompliancewitk appl icab le laws ud regulattom~

3. D a t e o f K e p o r t08/12/2011

6. Reporting Period0 1 / 0 1 / 2 0 1 0

t o1 2 / 3 1 / 2 0 1 0

IMPO RTANT NOTES: 2~e ins truc~ns ac~ompanfing this form must ~ followea~ Comp&e all parts,ch e ck i n g t h e N O N E b o x f o r e a ch p a r t wh e r e yo u h a v e n o r e p o r t a b le i n f o rm a t i o n , S i g n o n la s t p a g ~

I. POSITIONS. es~s ~ o,~; ~ ~ 4 . ~ o . : . 1 ~~] ( No repor tab leO NE positions.)

,POSI~I. M E M B E R , B O A R D O F T R U S T E E S T H E K I N K A I D SC H O O L

2. M E M B E R , B O A R D O F O V E R S E E R S T H E RA N D I N ST I T U T E FO R C I V I L JU ST I C E

3. M E M B E R , B O A R D O F T R U S T E E S RI C E U N I V E RSI T Y

4. M E M B E R , B O A R D O F T R U S T E E S C E N T E R FO R A M E RI C A N A N D I N T E RN A T I O N A L L A W

5.

N A M E O F O R G A N I ZA T I O N / E N T IT Y

H. AGREEM ENTS. ~,~,~ ~1 o,~y; ~ ~ ~-~ o/~,~~ ] N O N E ( N o rep o r ta b l e a g reements . )

PARTIES AND TERMS


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FINANCIAL DISCLOSURE R EPORTPage 2 of 7

N a m e o f P e r s o n R e p o r t i n gROSENTHAL, LEE H .

HL NON-INVESTMENT INCOME. CR~n~,A. Ffler~s Non-Inve~ent Income

~ NO~ non-~ent income.)o re ~or~ble

D a t e o f R e p o r t08/12/2011

I. 2010 UNIVE RSIT Y OF HOUST ON L AW FOUNDAT ION $ 3 ~ 2 0 0 . 0 02.3.4.

B . S p o u s e s ,N o n - I n v e s t m e n t I n c o m e - ~ / ~ o u , ,~ r , ,~ , m u ~(~1~ ~ ~t ~ ~cept~r ~.)

~ N O N E non-~v~ent income.)o reportableD ATE_ S O U R C E A N D T Y ~ , , ,E .

I. 2010 ; i ..... DIRECTORS FEES2. 2010 PARTNER DISTRIBUTION

3.4.

( I n , c l u d e e t h o s e t o s p o u s a n d d e p e n d e n t c h i l d r e n : s e e p p . 2 5 - 2 7 o f f i li n g i n s t r u c t i o n s . )1""] N O N E (N o reportab le reimbursements.)

SOURCE ~ . L O C A T I O N PURPOSE I T E M S P A I D O R P R O V I D E D1 . PE N N ST A T E L A W M A R CH 25-26 , 2011 PH IL A DE L PH IA , P A P A N E L I ST A I R F A R E & G R O U N DS C H O O L T RA N SP O RT A T I O N2. D E F E N S E R E S E A R C H APRIL 6-7 , 2011 L A S V E G A S , N V P A N E L I ST A I R F A R E , M E A L S & G R O U N DINSTITUTE T R A N S P O R T A T I O N3. S E D O N A C O N F E R E N C E APRIL 7-9, 2011 P H O E N IX , A Z P A N EL IST A I R F A R E , M E A L S & G R O U N DT R A N S P O R T A T I O N4. A M E R I C A N B A R JUNE 17-19, 2011 W H I S T L E R , C A N A D A S P E A K E R A IR FA R E , M E A L S & G R O U N DA SSO C I A T I O N T RA N SP O RT A T I O N5. A M ER IC A N L A W SE FFE M B E R I 1 -1 2 , PHI L ADE L PHI A, PA A D V I S E R S M E E T I N G A I RFA RE , H O T E L & G RO U N DINSTITUTE 2011 T RA N SP O RT A T I O N


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FINANCIAL DISCLOSURE REPOR TPage 3 of 7

N s m e o f P e r s o n R e p o r t in gR O S E N T H A L , L E E H .

D t t e o f R e p o r t08 / ! 2 / 2 0 1 1

6. A M E R ICA N L A W O CT O BE R 20-22, N E W Y O R K , N Y C O UN CIL M EE T IN G A IR FA RE , H OT E L & G R OU NDINSTITUTE 2 0 1 1 T RA N SP O RT A T I O N7. U N I V E RSI T Y O F T E X A S N O V E M B E R 2 - 3, AUSTIN, "IX S P E A K E R A I R. FA RE & G RO U N DL A W S C H O O L 2 0 1 F " T RA N SP O RT A T I O N8. G E O R G E T O W N N O V E M B E R 17-1 9 , W A S H I N G T O N , D C P A N EL IST A IR FA R E , M E A L S & G R O U N DU N I V E RSI T Y L A W 2011 T RA N SP O RT A T I O NS C H O O L9. L A W Y E R S F O R C M L DE CEM BER 2, 2011 N EW Y OR K, NY S P E A K E R A I R F A R E & G R O U N DJU S TICE T RA N SP O RT A T I O N1 0 . Y A L E L A W SC H O O L D E C E M B E R 2-3 , N E W H A V E N , C T S P E A K E R A I R F A R E & G R O U N D2011 T RA N SP O RT A T I O N1 1 . G E O R G E M A S O N D E C E M BE R 5-6 , W ASH I~ IG T O N , D C S P E A K E R A I R F A R E & G R O U N DU N IV ER S ITY 2011 T RA N SP O RT A T I O N


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FINANCIAL DISCLOSURE REPORTPage 4 of 7 Iz m e o f P e r s o n R e p o r t i n gR O S E N T H A L , L E E H .

N O N E (N o reportable gifts.)S OURCE

D a t e o f R i m r t08/12/2011

N O N E ( N o reportable liabilities.)

2.3 .

,

5 .

CREDITOR DESCRIPTION VALUECODE


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Finan cial Disclosure R eportCalendar Y ear 2010Lee H . Rosenthal8 / 1 2 / 1 1

(1 )

(3 )(4 )

(5 )

( 6 )

( 7 )

Pr iva te en t i ti e s i n c lu d in g p r iva te co m p an y in ves tm en t p a r tn e r sh ip s . Fo r p r iva tec o m p a n i e s , v a lu a t i o n i s b a s e d o n n e t b o o k v a l u e . F o r s u c h e n t i ti e s , v a l u a ti o n( C o l u m n C ( 2 ) ) is b a s e d o n c a p i ta l a c c o u n t a s s e t fo r t h o n f o r m K - 1 a n d i n c o m eand g a in i s inc lud ed ( to the ex ten t d i s t ribu ted ) in ne t cas h pa id o r r ece ived ( asd e s c r ib e d b e l o w ) u n d e r c o l u m n D ( 3 ) a n d n o t in C o l u m n B a n d / o r C o l u m n D ( 4 ) .W here f i le r i s a pass ive own er wi th no co nt rol over inves tmen ts or timing o f ca l l sor d i s t r ibu t ions , such ca sh d i s t r ibu t ions and ca l l s are se t fo r th in Colum n D(3) as ane t a gg re ga t e a m oun t fo r the r e po r t ing pe r i od . " B uy " i nd i c a te s ne t c a sh pa i d i n t othe ent i ty and "se l l" indica tes ne t cash pa id b y ent i ty to f i le r .(1 ) ( a ) I n c onne c t i on w i th Foo t no t e (1 ) p r i va t e c om pa ny i nve st me n t pa r t ne r sh i ps ,i n a bse nc e o f r e c e i p t o f K - I by f i l e r by f i l ing d a t e , no i n fo rma t i on i s p rov i de d a st o i n c o m e , g r o s s v a l u e o r t ra n s a c t i o n v a l u e s .Am ounts ind ica ted are aggrega te net amou nts fo r en t ire benef ic ia l in teres t o f trus tor IRA .U . S . S a v i n g s Bonds are valued at stated face value of bonds.Purch ase and sa le p r i ce o f regu lar in teres t pay ing b onds excludes ac crued in teres t .Inte res t incom e on regula r in te res t paying bond s exc ludes acc ru ed in te res t bou ghtor sold. Gain indicated on redeemed bonds represents only the redemptiona m o u n t ( a n d p r e m i u m , if a n y ) i n e xc e s s o f p r in c i p a l a m o u n t . B o n d p r e m i u m o rd i s c oun t a t pu rc ha se i s a s sum e d t o be fu l ly a m or t iz e d fo r pu rpose s o f c a l c u l a t ingga i n o r l o s s on s a l e , r e de mpt i on o r m a t u r it y on re gu l a r in t e re s t pa y i ng b onds , a ndsuch am ort i za t ion doe s no t af fec t in teres t repor ted ann ual ly .N o i n t e re s t i nc om e i s i nc l ude d i n In t e re s t I nc om e C o l um n B (1 ) on z e ro c oup onbond s . To t a l to da t e a c e re t e d i n t e re s t fo r z e ro c oupo n bo nds i s i nc l ude d i n Va l ueColumn C(1). On maturity of zero coupon bonds, total aecreted interest isi nc l ude d i n Va l ue C o l umn D (3) . O n m a t u r it y , re de m pt i on , o r s a l e o f z e ro c oupo nbon ds , Va l ue C o l um n D(3) i s t he ma t u r i t y va lue , r e de mp t ion p r i c e , o r s a le s pde eand Gain Column D(4) reflects the difference between the maturity value,redem pt ion pr i ce , o r sa les p r ice an d the o r ig inal cos t .A l l m u t ua l fund re i nve s t e d d i v i de nds , i n t e re s t a nd c a p i t a l ga ins a re n o t s e pa ra t e l ys h o w n a s n e w p u r c h a s e s , b u t a r e i n c lu d e d i n t h e e n d o f p e r io d ( C o l u m n C ( 2 ) )va l ue s . A l l un re i nve st e d d i s t r ibu t i ons f rom m ut ua l funds (d i v ide nd s , i n te re s t a ndc a p i t a l ga i ns ) a re inc l ude d i n C o l um n B (1 ) . M one y m a rk e t mu t ua l funds s e t fo r tha ggre ga t e d i v ide nd / i n t e re s t pa id fo r y e a r a nd e nd o f ye a r va l ue on l y .M u n i c i p a l a n d U . S . T r e a s u r y b o n d v a l u e s re f l e c t e d in V a l u e C o l u m n C ( 2 ) a reba se d on m a rk e t va l ue .

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Finan cial Disclosure Re portCalendar Y ear 2010Lee H . Rosenthal8/12/11

( 8 )

( 9 )

(11)( 1 2 )(13)

No ~an sac t io n va lu e o r g a in o r l o ss is r ep o r t ed o n n o n - t axab le exchan g es o f o n es e c u r i t y f o r a n o t h e r o r s p i n - o f fs o f s e c u r i ti e s o r s t o c k d i v i d e n d s , l g p u b l i c lyt raded, the va lue as of the da te of the t ransac t ion w hen su ch secu r i ty i s rece ived i sr e f l e c ted in Co lu m n C( 1 ) G r o ss V a lu e . In in s t an ces n o ted in f i r s t sen ten ce , an yg a i n i s r ep o rt ed o n l y w h en t h e n ew s ecu r it y i s s o ld .~ received options for compensation. Vested options are valued at spreadb e t w e e n ( 1 ) e x e r c i s e p r ic e a n d ( 2 ) m a r k e t v a l u e i n t h e e a s e o f p u b l i c l y t r a d e dse c u r i ti e s o r e xe rc i s e p r i c e i n t he c a se o f nonp ub l i c s e c u r i t ie s . Unve s t e d op t i onsare g iven no value . Rest r ic ted s tock is no t valued dur ing res t r ic t ion per iod . Af terrestrict ions lapse, restricted s tock is reflected as owned shares .Oil and G as interests - value no t know n to fi ler.Pr iva te co m p an y- va lu e n o t kn o w n to f i le r .Inadver ten t ly omi t ted in p r io r year repo r t .Pass ive o i l , g a s o r se i sm ic in ves tm en t - t r ea ted a s a Fo o tn o te ( 1 ) o r ( 1 ) ( a ) [ seeabo ve] ho ld in g .

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FINANCIAL DISCLOSURE REPORTPage 7 of 7

Name of Permn Reper~tagR O S E N T H A L , L E E H .

Date of Report08/12/2011

IX. CERTIFICATION.I ce r t ify tha t a l l informat ion given above ( inc luding inform at ion p~ning to m y spouse ~m d mino r or dependent ch i ldren, i f any ) isaccura te , t rue , and com ple te to the bee t o f my kn owledge and be l ie f , and tha t any in forma t ion no t r epor ted was w i thhe ld beceuse i t me t app l icable s ta tu to ryprovisions permitting non-disclosure .I fur~er ce re fy tha tca tned income.f rom outr ide :employment and honorar ia and the acceptance :of g if ts wh ich have been repor ted a re inompl iance w ~h the p rov is lou~ or s U .S .Co app . ~O l ~ t . ~q . , S U .S .C. 7353 , and Jud ic ia l Cente rance r egu la t ions .

N O T E : A N Y I N D I V ID U A L W H O K N O W I N G L Y A N D W l L F U L L Y F A L S IF I E S O R F A I L S T O F I L E T H I S R E P O R T M A Y B E S U B J E C T T O C I V I LAND C RIM INAL S ANC TIONS ($ U .S .C . ap p . 1 04)

C o m m i tt e e o n F i n a n c i a l D i s c lo s u r eAdmin i s t r a t ive Of f i c e o f t he Uni t ed S ta t es C our t sS u i t e 2 - 3 0 1O n e C o l u m b u s C i r c l e, N . E .W a s h i n g t o n , D . C . 2 0 5 4 4

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Lee H Rosenthal Financial Disclosure Report for 2010