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Judicial Watch • James B Loken Financial Disclosure Report for 2007

James B Loken Financial Disclosure Report for 2007

James B Loken Financial Disclosure Report for 2007

Page 1: James B Loken Financial Disclosure Report for 2007

Category:Financial Disclosure

Number of Pages:12

Date Created:November 3, 2008

Date Uploaded to the Library:November 13, 2013

Tags:Loken, James B Loken, James, vanguard, 2007, transactions, TRUSTS, dividend, IRS, Financial Disclosure, ICE, CIA, financial, income, Judge


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Government Act 1978 
Rev. 112008 
FOR CALENDAR YEAR 2007 U.S.C. app.  101-111) Person Reporting (last name, first, middle initial) LOKEN, JAMES Court Organization EIGHTH CIRCUIT Date Report 05/15/2008 Title (Article III judges indicate active senior status; magistrate judges indicate full-or p-time) CIRCUIT JUDGE (Active)  Sa. Report Type (check appropriate type) Nomination, Date Initial [{] Annual Sb. Amended Report Final Reporting Period 01/01/2007 12/31/2007 Chambers Office Address U.S. Courthouse, Suite 300 South Fourth Street Minneapolis, 55415 the basis oflhe 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 al/parts, checking the NONE box for each part where you have reportable information. Sign last page. OSITI NS, (Reporting individual only; see pp. 9-13 filing instructions.) NONE (No reportable positions.) Past President Member 

II. AGREEMENTS. (Reporting individual only; see pp. 14-16 filing instructions.) 
[ZJ NONE (No reportable agreements.) 

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0511512008
LOKEN, JAMES 
III. N-INVES TMENT INC ME. (Reporting individual and spouse; see pp. 17-24 filing instructions.) Filer's Non-Investment Income 
[{] NONE (No reportable non-investment income.) SOURCE AND TYPE 

(yours, not spouse's) Spouse's Non-Investment Income -If you were married during any portion the reporting year, complete this section. 
(Dollar amount no/ required except/or honoraria.) 
[{] NONE (No reportable non-investment income.) 

IV. REIMBURSEMENTS -transportation, lodging, food, entertainmenL (Includes those spouse and dependent children; see pp. 25-27 filing instructions.) NONE (No reportable reimbursements.) SOURCE DATES LOCATION PURPOSE ITEMS PAID PROVIDED  Missouri Chapter, American College Trial Lawyers  June 2007  St. Louis, Mo.  Speech, Regional Meeting  Lodging expense 

05/15/2008
LOKEN, JAMES GIFTS. (Includes those spouse and dependent children; see pp. 28-31 

instructions.) 
[ZJ NONE (No reportable gifts.) 
SOURCE DESCRIPTION VALUE 

VI. LIABILITIES. (Includes those spouse and dependent children; see pp. 31-33 filing instructions.) 
[ZJ NONE (No reportable liabilities.) 
CREDITOR DESCRIPTION VALUE CODE 

Date Report 
Name Person Reporting 
05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP. 14-60 filing instructions.) NONE (No reportable income, assets, transactions.) 
Description Assets 
(including trust assets) 

Place "(X)" each asset 
exempt from prior disclosure Income during reporting period Gross value end reporting period Transactions during reporting period Amount Code (A-H) (2) Type (e.g., div., rent, int.) Value Code (J-P)  (2) Value Method Code3 (Q-W)  (1) Type (e.g., buy, sell, redemption) (2) Date Month -Day  (3) erValue Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  STOCKS (All Common)  Allstate Corp.  Dividend  Verizon Communications  Dividend  Sold  9110  Idearc  None  Sold  3/15  Bristol-Myers Squibb  Dividend  Sold  9110  Zimmer Holdings, Inc.  None  Target Corp  Dividend  Emerson Electric  Dividend  Part sold  9110  Exxon Corp.  Dividend  
JO.  Wachovia Corp.  Dividend  
11.  Gabelli Equity Trust  Dividend  
12.  Gabelli Global Multimedia Trust  Dividend  
13.  Gabelli Utility Trust  Dividend  
14.  Gabelli Healthcare Trust  Dividend  Spinoff  6/28  From Gabelli Equity Trust  
15.  General Motors  Dividend  Sold  11/30  
16.  IBM  Part sold  9/10  
17.  IBM  Part Sold  11130 Income Gain Codes: =$1,000 less =Sl,001  $2,500 =$2,50 -$5,000 =$5,001  $15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00 00,000 =$100,00t. $1,000,000  l!t =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes 15,000 less =$15,001-$50,000 =$50,01  $100,000 =$100,001 -$250,000  
(See Columns and 03) =$250,001 -$500,000 =$500,001  l,000,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,00 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Name Person Reporting 
05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions r1nc1udes those spouse and dependent children; see PP 34-60 filing instructions.; NONE (No reportable income, assets, transactions.)  
Description Assets  Income during  Gross value end  Transactions during reporting period  
(including trust assets)  reporting period  reporting period  

(I) (I) 
(2) (3) 
(5)(I) 
Place "(X)" after each asset  Amount  Type (e.g.,  Value  Value  
exempt from prior disclosure  Code  div., rent,  Code  Method  
(A-H) int.)  (J-P)  Code  
(Q-W)  

Type (e.g., buy, sell, redemption) 
Date 
Month-
Day 

Value  Gain  Identity  
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction) Income Gain Codes: =$1,0-00 less =$1,001  $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  $5,000,0-00 =More than $5,0-00,000 Value Codes =$15,000 less =$15,001 -$50,0-00 =$50,001 -$100,0-00 =$100,001  $250,000  
(See Columns and D3) =$2>0,001  $500,000 =$500,001 -$1,000,000 =$1,000,001  $5,000,0-00 =$5,000,001 -$25,000,000 =$25,0-00,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(Sec Column C2) =Book Value =Other =Estimated  

Date Report 
Name Person Reporting 
0511512008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, value, transactions r1nc1udes those spouse and dependent children; see PP 14-60 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 exempt from prior disclosure  (1) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (1) Type (e.g., buy, 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  Buy  915  
36.  ADC Telecommunications  None  Part sold  12/17  
37.  Amkor Technology  Part sold  1/3  
38.  Amkor Technology  Part sold  2/18  
39.  Amkor Technology  Part sold  4125  
40.  Amkor Technology  Part Sold  5129  
41.  Amkor Technology  None  Buy  9/26  
42.  Conexant Systems  None  Buy  4/20  
43.  Select Comfort Corp.  None  Sold  9/18  
44.  Nokia Corp.  None  Sold  4/26  
45.  Oracle Corp.  None  
46.  Skyworks Solutions, Inc.  None  Sold  1123  
47.  Synovis Life Technologies, Inc.  Buy  1/30  
48.  Synovis Life Technologies, Inc.  Part Sold  9/18  
49.  Synovis Life Technologies, Inc.  Part Sold  9/26  
50.  Synovis Life Technologies, Inc.  None  Part Sold  11/28  
51.  Cyberoptics Corp.  None Income Gain Codes: t,000 less =$1,001 -$2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(Sec Columns and D4) =$50,001-$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) =$250,001 -$500,000 =$500,001 -$1,000,000 =SI,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =$25,000,001 -$50,000,000 =More than $50,000,000 Value Method Codes =Appraisal =Cost (Real Estate Only) =-Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Name Person Reporting 
05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those 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 
52. Microsoft Corp.  
Income during  Gross value end  Transactions during reporting period  
reporting period  reporting period  
(!)  (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) Dividend 
Rudolph Technology
None 
54. Aetrium Inc. 	None Buy 9/16 
55. 
Dow Chemical Dividend 
56. 
Cemex S.A. Dividend Buy 6/7 
Chesapeake Energy Dividend Buy 5/23 
58. Valero Energy Dividend 
Metro Health Network 
Buy 1/30 
60. 
Metro Health Network 

61. 
Metro Health Network 

None 
62. 
Boston Scientific Corp 	None 

63. 
Possis Medical, Inc. 

64. 
Possis Medical, Inc. 	None 

65. 
Intel Corp. Dividend 

66. 
Best Buy Co. 

67. 
Best Buy Co. Dividend 

68. 
Bank America Dividend Jacome Gain Codes: A=$1,000 less B=$l,00l -$2,500 (See Columns and 04) F=$50,001-$100,000 =$100,001 -$1,000,000 
Value Codes =$15,000 less K=$15,001-$50,000 

(See Columns and 03) 4250,001 -$500,000 =$500,001 -$1,000,000 =$25,000,001 -$50,000,000 
Value Method Codes =Appraisal =Cost (Real Estate Only) (See Column C2) U=Book Value =Other 

Buy  4/20  Buy  9/18  
Sold  4/25  
Buy  2/28  Buy  6/8  Buy  2/28  
Buy  4/20  Buy  6/8  Buy  9/18 
c=$2,501 -$5,000 =$5,001 -$15,000  E=$15,001 -$50,000 =$1,000,001 -$5,000,000 =More than $5,000,000  
L=$50,00I -$100,000 =$100,001-$250,000 =$1,000,001 -$5,000,000 =$5,000,001 -$25,000,000 =More than $50,000,000 =Assessment =Cash Market =Estimated  

05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS income, value, transactions r1nc1udes those 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  
reporting period  reporting period  
(I)  (2)  (I)  (2)  
Amount  Type (e.g.,  Value  Value  
Code  div., rent,  Code  Method  
(A-H) int.)  (J-P)  Code (Q-W)  

(I) 
Type (e.g., buy, sell, redemption) 
Transactions during reporting period 

(2) 
Date 
Month Day 

(3)  (4)  (5)  
Value  Gain  Identity  
Code  Code  buyer/seller  
(J-P)  (A-H)  (if private  
transaction) Income Gain Codes: =$1,000 less 41,001 -$2,500 =$2,50 -$5,000 =$5.001 -$15,000 =$15,001 -$50,000 (See Columns and 04) =$50,001 -$100,000 =$100,001 -Sl.000,000 =$1,000.001 -$5,000,000 =More than $5,000,000 
Value Codes =$15,000 less =$15,001 -$50,000 =$50,00 -$I 00,000 =$100,001 -$250,000 

(See Columns and 03) =$250,00 -$500,000 =$500,001 -$1,000,000 =$1,oo0,001 -$5,000,000 =$5,000,001 -$25,000,000 425,000,001 -$50,000,000 =More than $50,000,000 
Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market (See Column C2) =Book Value V=Otber =Estimated 

05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS -income, vatue, transactions (Includes those spouse and dependent children; see PP 14-60 

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 exempt from prior disclosure  (I) Amount Code (A-H)  (2) Type (e.g., div., rent, int.)  (I) Value Code (J-P)  (2) Value Method Code (Q-W)  (I) Type (e.g., buy, sell, redemption)  (2) Date Month Day  (3) Value Code (J-P)  (4) Gain Code (A-H)  (5) Identity buyer/seller (if private transaction)  

86.  Vanguard Windsor Fund  Dividend  
87.  Vanguard Hi-Yield Corp. Fund  Dividend  
88.  Vanguard Prime Fund  Dividend  
89.  Vanguard Short Term Corp. Fund  Dividend  
90.  Vanguard Long Term Tax Exempt Fund  Dividend  
91.  Vanguard Wellington Fund  Dividend  
92.  Vanguard Capital Value Fund  Dividend  
93.  Artisan International Fund  Dividend  
94.  Leuthold Core Inv. Fund  Dividend  
95.  Selected American Shares Fund  Dividend  
96.  Amer Century Equity Fund  Dividend  
97.  Chase Growth Fund  Dividend  
98.  Dreyfus Minn Muni Fund  Dividend  
99.  Icon Health Care Fund  Dividend  
100.  Matthews Pacific Tiger Fund  Dividend 01.  Muhlenkamp Fund  Dividend  
102.  MISC. Income Gain Codes: =$1,000 less =$1,001 -$2,500 =$2,50 I-$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and D4) =$50,001 -$100,000  0=$100,001-$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,000 les1 =$15,001 -$50,000 =$50,001 -$!00,000 =$!00,001 -$250,000  
(See Columns and D3) =$250,001 -$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 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estimated  

Date Report 
Name Person Reporting 
05/15/2008
LOKEN, JAMES 
VII. INVESTMENTS and TRUSTS income, vatue, transactions (Includes those 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)  (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)  

103.  Wells Fargo Bank IRA  Dividend  
104.  FB Building Partnership  None  
105.  Vanguard Variable Annuity Plan  None  Sold  6/25  
106.  Tamarack Investment Tax Free Fund  Dividend  
107.  Schwab Advance Cash Reserve Fund  Dividend  
108.  Wells Fargo Bank  Interest Income Gain Codes: =$1,000 less =$1,001  $2,500 =$2,50 -$5,000 =$5,001 -$15,000 =$15,001 -$50,000  
(See Columns and 04) =$50,00! -$100,000 =$100,001 -$1,000,000 =$1,000,001 -$5,000,000 =More than $5,000,000 Value Codes =$15,ooO less =$15,001 -$50,000  L=$50,001-$100,000 =$100,001 -$250,000  
(See Columns and D3) =$250,001  $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 Value Method Codes =Appraisal =Cost (Real Estate Only) =Assessment =Cash Market  
(See Column C2) =Book Value =Other =Estim ated  

05/15/2008
LOKEN, JAMES 
VIII. ADDITIONAL INFORMATION EXPLANATIONS. (lndicate partofReporl) 

05/15/2008
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. 
Sign 
NOTE: ANY INDIVIDUAL WHO KNOWINGLY AND WILFULLY FAL 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, .E. Washington, D.C. 20544



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