Skip to content

Judicial Watch • James B. Loken – 2006

James B. Loken – 2006

James B. Loken – 2006

Page 1: James B. Loken – 2006

Category:Federal Judges

Number of Pages:12

Date Created:September 21, 2007

Date Uploaded to the Library:November 16, 2014

Tags:Loken, James B Loken, James, Estate, 2006, assets, transactions, Codes, dividend, disclosure, reporting, report, Federal Judge, financial, income, Judge


File Scanned for Malware

Donate now to keep these documents public!


See Generated Text   ∨

Autogenerated text from PDF

Government Act 1978 
Rev.112007 
FOR CALENDAR YEAR 2006 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) LOKEN,JAMESB Court Organization EIGHTH CIRCUIT Date Report 05/15/2007 Title (Article III judges indicate active senior status; magistrate judges indicate full-or part-time) CIRCUIT JUDGE (Active) Sa. Report Type (check appropriate type) Nomination, Date Initial Annual Final Reporting Period 01101/2006 12/3112006 
Sb. Amended Report Chambers Office Address U.S. Courthouse, Suite 300 South Fourth Street Minneapolis, 55415 the basis the information contained this Report and any modifications pertaining thereto, is, opinion, compliance with applicable laws and regulations. Reviewing Officer Date 
 
IMPORTANT NOTES: The instructions accompanying this form must followed. Complete all parts, checking the NONE box for each part where you have reportable information. Sign last page. POSITIONS. (Reporting individual only; see pp. 9-13 instructions.) NONE (No reportable positions.) 
POSITION NAME ORGANIZATION/ENTITY Past President Federal Bar Association, Minnesota Chapter Member American Law Institute 
 
 
II. AGREEMENTS. (Reporting individual only; see pp. 14-16 instructions.) NONE (No reportable agreements.) PARTIES AND TERMS ()r--! o:::::;; (J) :-- c:Y> -.I :3: ::0 
al>  Filers Non-Investment Income 
[KJ NONE (No reportable non-investment income.) 
 
 
SOURCE AND TYPE INCOME 
(yours, not spouses) Spouses Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount not required except for honoraria 
 
 NONE (No reportable non-investment income.) 
 
SOURCE AND TYPE 
 
IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL 
(Includes those spouse and dependent children. See pp. 25-27 instructions.) NONE (No reportable reimbursements.) 
SOURCE DESCRIPTION Pace University Law School Judge, Feb. 25, 2006, Pace National Environmental Law Moot Court Competition (Transportation, Meals, Room) GIFTS. (Includes those spouse and dependent children. See pp. 28-31 instructions.) 
 	NONE (No reportable gifts.) SOURCE 
 
VALUE 
 
 
 
VI. LIABILITIES. (Includes those spouse and dependent children. See pp. 32-33 instructions.) 
 NONE (No reportable liabilities.) 
DESCRIPTION 	VALUE CODE 
 
 
 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description.of Assets (including trust assets) 
Place QC) after each asset 
exempt from prior disclosure. Transactions during reporting period 
Income during Gross value end 
reporting period reporting period 
(I) (2) (I) (2) (I) (2) (3) 
Amount Type(e.g. Value Vatue Type(e.g. Date Value 
Code div., rent, Code2 Method buy, sell, Month Code2 
(A-H) orint.) (J-P) Code redemption) Day (J-P) 
(Q-W) 
 
(4) 
G1tin Identity 
Code buyer/seller 
(A-H) (if private 
transaction) STOCKS (All Common) Allstate Corp. Verizon Communications Idearc Bristol-Myers Squibb Dividend Dividend None Dividend Spinoff 11117 Spino Verizon Zimmer Holdings, Inc. Target Corp None Dividend Emerson Electric Dividend Exxon Corp. Dividend 
10. Wachovia Corp. Dividend 
11. Gabelli Equity Trust Dividend 
12. Gabelli Global Multimedia Trust Dividend 
13. Gabelli Utility Trust Dividend 
14. General Motors Dividend 
15. IBM Dividend 
16. XCel Energy, Inc. Dividend 
17. CenterPoint Energy, Inc. Dividend Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 E=$15;001 -$50,000 
(See Columns and D4) =$50,00 -$100,000 =$100,001 -$1,000,000 =s1.ooo.001 -S5,ooo;ooo =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
{See Columns and D3) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,00 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) =Appraisal V=Other =Assessment =Book Value =Estimated 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place (X) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (1) (2) (1) (2) (3) (4) (5) 
Amount Type(e.g. Value Value Type(e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month Code Code bJlyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
 
18. ATT Inc. (formerly SBC Communications) Dividend 
19. Pactiv Corp. N.one 
20. TXU (Texas Utilities) Dividend 
21. ASM International None None None Sell Sell Part Sell 8/1 9/11 8/1 
22. 23. 24. Consol. Delivery Logistics Cypress Semicond. Corp. FSI International, Inc. 
25. FSI International, Inc. None Part Sell 11/30 
26. Digi International None 
27. LSI Logic Corp. Part Sell 3/27 
28. LSI Logic Corp. Part Sell 4/27 
29. LSI Logic Corp. None Sell 8/1 
30. Hewlett-Packard Co. Dividend Sell 917 
31. Communications Systems Dividend 
32. Nektar Therapeutics None 
33. Vishay Intertechnology None Part Sell 12/29 
34. ADC Telecommunications Buy 6/21 Income Gain Codes: A=$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -S100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 M=$100,001 -$250,000 
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000;000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost(Real Estate Only) More than $50,000,000 T=CashMarlcet 
(See Column C2) =Appraisal V=Other =Assessment =Bonk Value =Estimated 
 
 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS income, value, transactions (Includes those the spouse and dependent children. See pp. 3460 filing instructions.) NONE (No reportable income, assets, transactions.) Description Assets (including trust assets) Income during reporting period Gross value end reporting period Transactions during reporting period 
Place (X) after each asset exemptfrom prior disclosure (I) Amount Code (AcH) (2) Type(e.g. div., rent, inl) (I) Value Code (J-P) (2) Value Method Code3 (Q-W) (l) Type(e.g. bily, sell, redemption) (2) Date Month-Day (3) Value Code (J-P) (4) Gain Code! (A-H) (5) Identity buyer/seller (if private transaction) 
 
35. ADC Telecommunications None Buy 11/30 
36. Amkor Technology Buy 1/25 
37. Amkor Technology None Part Sell 11/30 
38. Conexant Systems None 
39. Atmel Corp. None Sell 8/1 
40. Select Comfort Corp. Part Sell 2/6 
41. Select Comfort Corp. None Buy 917 
42. Nokia Corp. Dividend 
43. Oracle Corp. None 
44. Skyworks Solutions, Inc. Buy 6/21 
45. Skyworks Solutions, Inc. None Part Sell 12/29 
46. Synovis Life Technologies, Inc. None Buy 11/20 
47. Cyberoptics Corp. Buy 1/25 
48. Cyberoptics Corp. None Buy 12/29 
49. Seagate Technology None Sell 1/25 
50. Microsoft Corp. Dividend 
51. Mesa Air Group, Inc. None Sell 6/21 lncome_Gai.n Codes: =$1,000 orless =Sl,001 -$2,500 =$2,501 -$5,oOo =$5,00I -$15,000 =$15,001 -$50,000 
(See Colnmns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 
2.Valuc Codes =$15,000 orless =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and DJ) =$250,00I -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market 
(See Column C2) Q=Appi;ai V=Other S=Assessment =Book Value =Estimated 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
VII. INVESTMENTS and -income, value, transactions (Includes those the spouse and dependent childrelL See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including tiust assets) 
 
Place (X) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(I) (2) (I) (2) (I) (2) (3) (4) (5) 
Amount Type(e.g. Value Value Type(e.g. Date Value Gain Identity 
Code! div., rent, Code Method buy, sell, Month Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
 
52. August Technology Inc. Buy 1/25 
53. August Technology Inc. None Sell 2/28 Plus exchange for Rudolph 
54. Rudolph Technology None Exchange 2/28 For August stock 
55. Intrawest Buy 212 
56. Intrawest Dividend Sell 6/21 
57. Aetrium Inc. None Buy 3/27 
58. Dow Chemical Dividend Buy 3/27 
59. CemexS.A. Buy 4/20 
60. CemexS.A. Dividend Buy 6/21 
61. Chesapeake Energy Dividend Buy 8/1 
62. Valero Energy Buy 8/1 
63. Valero Energy Dividend Buy 1/30 
64. Metr Health Network Buy 11/30 
65. Metro Health Network None Buy 12/29 
66. Boston Scientific Corp None Buy 12/29 
67. MUTUAL FUNDS 
68. Columbia Acom Fund Dividend Income Gain Codes: =$1,000 orless =$1,00 -$2,500 =$2,501 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,001 -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 orless =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and DJ) =$250,001 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 
3.Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than $50,000,000 =Cash Market  
(See Column C2) =Appraisal V=Other =Assessment 
U=BookValue =Estimated 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets {including trust assets) 
Place (X) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(1) (2) {!) (2) {!) (2) (3) (4) (5) 
Amount Type {e.g. Value Value Type {e.g. Date Value Gain Identity 
Code div., rent, Code2 Method buy, sell, Month Code2 Code buyer/seller 
{A-H) int.) {J-P) Code3 redemption) Day {J-P) {A-H) private 
(Q-W) transaction) 
 
69. Fidelity Equity Income Fund Dividend 
70. Fidelity Mn. Tax Free Fund Dividend 
71. Fidelity Emerging Markets Fund Dividend 
72. Fidelity Japan Fund Dividend 
73. Fidelity Spartan Muni Income Fund Dividend 
74. Fidelity Real Estate Fund Dividend Gift 12/11 
75. Harbor International Fund Dividend 
76. Investment Amer Fund Dividend 
77. Mutual Beacon Fund Dividend 
78. New Perspective Fund Dividend 
79. Oppenheimer Capital Inc Fund Dividend 
80. Oppenheimer Strategic Income Dividend 
81. Vanguard Fixed Inc Fund S-T Dividend 
82. Vanguard Fixed Inc Fund GNMA Dividend 
83. Washington Mutual Fund Dividend 
84. Vanguard Windsor Fund Dividend 
85. Vanguard Hi-Yield Corp. Fund Dividend Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,501 -$5,000 0=$5,001-$15,000 =$15,001 -$50,000 
(See Columns and 04) =$50,00I -$100,000 =$100,001 -$1,000,000 =$1,000,001-$5,000,000 =More than $5;000,000 Value Codes =$15,000 less =$15,001 -$50,000 =$50,001 -$100,000 =$100,001 -$250,000 
(See Columns and D3) =$250,00I-$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 C$5,000,001 -$25,000,000 Value Method Codes =$25,000,001 -$50,000,000 =Cost (Real Estate Only) =More than. $50,000,000 =Cash Mket 
(See Column C2) =Appraisal V=Other =Assessment =Book Value =Estimated 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See PP 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
 
(See Colwnns and 03) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,000,001 -$5,000,000 =$5,000;001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 
(See Column C2) V=Other Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal =Assessment =Book Value =Estimated 
 
 
VII. INVESTMENTS and TRUSTS -income, value, transactions (Includes those the spouse and dependent children. See pp. 34-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets (including trust assets) 
Place (X) after each asset exempt from prior disclosure 
Income during Gross value end Transactions during reporting period 
reporting period reporting period 
(1) (2) (1) (2) (1) (2) (3) (4) (5) 
Amount Type (e.g. Value Value Type (e.g. Date Value Gain Identity 
Code div., rent, Code Method buy, sell, Month- Code Code buyer/seller 
(A-H) int.) (J-P) Code redemption) Day (J-P) (A-H) (if private 
(Q-W) transaction) 
 
103. 104. Vanguard Variable Annuity Plan Tamarack Investment Tax Free Fund None Dividend 
105. 106. Schwab Advance Cash Reserve Fund Wells Fargo Bank Dividend Interest Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,50I $5,000 D=$5,001-$15,000 =$15,001-$50,000 
(See Columns and D4) =$50,001 -$100,000 =$100,001 -$1,000,000 -$5,000,000 =More than $5,000,000 =SI,000,001 Value Codes J=Sl5,000orless =$15,001 -$50,000 =$50,001 -$100,000 J00,00J -$250,000 (See Coluinns and DJ) =$250,00J -$500,000 =$500,001 -$1,o00,000 =$1,000,00 -$5,000,000 =s5,ooo,001 -s25,ooo,ooo =$25,000,001 -$50,000,000 =More than $50,000,000 (See Column C2) V=Other Value Method Codes =Cost (Real Estate Only) =Cash Market =Appraisal =Assessment =Book Value W=Estimated 
 
 
 
Date Report 
Name Person Reporting 
LOKEN, JAMES 
0511512007 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (Indicale parlo[Report.) 
 
 
 
 
 
 
Date Report 
Name Person Reporting 
05/15/2007 
LOKEN, JAMES 
 
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. de;07 
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