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Judicial Watch • James B Loken Financial Disclosure Report for 2006

James B Loken Financial Disclosure Report for 2006

James B Loken Financial Disclosure Report for 2006

Page 1: James B Loken Financial Disclosure Report for 2006

Category:Financial Disclosure

Number of Pages:12

Date Created:September 21, 2007

Date Uploaded to the Library:November 13, 2013

Tags:Loken, James B Loken, James, Estate, 2006, transactions, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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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>  Filer's Non-Investment Income 
[KJ NONE (No reportable non-investment income.) 

SOURCE AND TYPE INCOME 
(yours, not spouse's) Spouse's 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;0'7 
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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