James B Loken Financial Disclosure Report for 2009

8/3/2019 James B Loken Financial Disclosure Report for 2009

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FINANCIAL DISCLOSURE REPORT ~ , r t g ~ q ~ i ~ d ~ t h ~ ~ t h i ~ sin Governtnent Act of 1978FOR CALENDAR YEAR 20091. P e r s o n R e l ~ o r t i n g ( l a s t n a m e , f i r s t, m i d d l e i n i t ia t ) 2 . C o u r t o r O r g a n i z a t io n 3 , D a t e o f R e p o r tL O K E N , J A M E S B . E I G I IT H C I R C U I T 5 i l 5 . . 2 0 1 0

4 . T i t le (Ar t icle I I I ju d g es in d ica te a ct iv e o ~ sen io r s ta tu s; ! 5 a . R ep o r t T .~ pe tch eck a ppr o p da lc ~ y pe) 6. R ep o r t in g P er io dma g is i , , i r a te ju d g es in d ica te fu l l - o r pa r t - t ime)[] Nomination, D a t e 01/01/2009

CIRCUIT JUDGE(Active) [] loitiaI ~[~1 A .... [~ Final to1 2 i3 ~/2 0 0 95b. [] Amended Report

7 . C h a m b e r s o r O f f i c e A d d r e s s 8 . O n t h e b a s i s o f th e i n f o r m a t i o n c o n t a i n e d i n t h i s R e p o r t a n d a a ym o d i f i c a t i o n s p e r t a i n i n g t h e r e to , it is, in my opinion, in complianceU.S. Courthouse, Suite t 1W with a p p l i ca b l e l a w s u u d r e g u l a t i o n s .3 0 0 S o u t h F o u r t h S t r e e tM i n n e a p o l i s, M N 5 5 4 1 5 R e v i e w i n g O f f i c e r D a t e

IMPO RTANT NOTE S: The instructions accompanying this form must be followed. Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last page.

I . P O S I T I O N S . ( ~ , p o ~ , i . g individual only; see pp. 9-13 of filing instructions.)~] N O N E (No reportable positions.)

P O S IT IO N N A M E O F O R G A N IZA T IO N /E N T IT Y1. P a s t P r e s i d e n t Federal Bar Association, Minnesota Chapter2. Member American Law Institute

5,

II. AGREE MENTS. fReporting i,,di,,iduut only: seepp. 14-16 of filing instructions.)~ N O N E (No reportable agreements.)

D A T E P A R T I ES A N D T E R M S1.


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N a m e o f P e r so n R e p o r t in g D a t e o f R e p o r tF I N A N C I A L D I S C L O S U R E R E P O R Tof9

I ~ . O K r ~ N , . ~ A ~ E S B .0 5 / 1 ~ / ~ 0 1 0a ge . . _

I I I . N O N - I N V E S T M E N T I N C O M E . (Reeo,,i,~ i,,ai,.ido,t,,,,d .,p ... . . . . . . p p . ~A. Fliers Non-Investment Income

N O N E 0 V o reportable non-inve,~tment income.)D A T E S O U R C E A N D T Y P E I N C O M E( y o u r s , n o t s p o u s e s )

1.2.3.4.

B . S p o u s e s N o n - I n v e st m e n t I n c o m e - ~f you were married during any portion of the reporting year, complete this seetio~(Dollar ttmaun t not required except for honoraria.)

N O N E ( N o reportable non-investment income.)D A T E S O U R C E A N D T Y P E

I.2.3 .

I V . R E I M B U R S E M E N T S -(Includes" those, tt~ s]~ouse and dependent children; see pf~. 25-27 o filling instructiotts.)

~ N O N E (No reportable reimbursements.)~ D A T E S L O C A T I O N P~POSE I T E M S P A ID O R P R O V I D E D

I, D~ 11/5- 6/09 La 3olla, Cal . Appellate advoca cy Transpor tation, m eals, hotelse mi na r2.3 .4 .5.


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F I N A N C I A L D I S C L O S U R E R E P O R TPage 3 of 9 LO~, ~-;rS ~. o 5 / ~ s / 2 0 ~ 0

V . G I F T S . a ~ , , ~ , , ~ , , ~ , o , ~ . .. .. .. a dependent children; see pp. 28-31 of filinginstructions.)N O N E (No reportable g~?s.)

~ DgS~RIPTtON VAL~1 .2.3.4.5 .

V I . L I A B I L I T I E S . a , ~ t , d e , . t h o ~ , o f t , . . . . . . a dependent children; s e e p p . 3 2 - 3 3 of filing instructions.)N O N E (No reportable liabilities.)

C R E D I T O R D E S C R I P T I O N V A L U E C O D E

2.

4.

5.


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FINANCIAL DISCLOSURE REPORT N~,e of Person Reporting [ Date of ReportP a g e 4 o f 9 LOV~N, JAI,dES B.

!05 /15 /201

V I I . ~ V E S T M E N T S a n d T R U S T S - ~ ....... ~,,. , ...... ,~,~ {Includes those of sp ......d dependent children; seepp 34-60 of filing instructlottsO~ N O N E ( ~ reportable income, assets, or transactions.).......................................................~......................................? ....................................................~scriptioa of AS~ I In,me d~fing Gros s va l ue a t cad( inc l ud ing t rus t ~s e~) re~iag period of re~rfing

Place " (X)" a~er each asse t AmOunt ! Ty~ (e.g., Value ! Value ] Xy~ {e.g., Date ] Value Gain I d e n t i t y o fex emp t f rom p r io r d is e l os ur~ C~e I ~ div., renL C o d e 2 : Co d e 1 buye ff~l le ri(A-H) ] or inL) (J-P) C~e 3 ] redemption) ; ~ (J-P) [ (A-H) ( i f p r iva te( Q - w ~ I,I. STOCK8 (All Common)

2. Zitmner Holdings, lne . N o n e J Ti 3. T a r g e t C o r p A D i vi de n d L T I4. Emerson Electr ic C Dividend M T5. E x x o n C o r p . A D i vi de n d K T6. W e l ls Fa r g o & C o . A Dividend J T B u y 1 / 2 7 / 0 9 } W a c h o v i a C o r p .

I - ti . XCel Energy, Inc . C Dividend L T8. FSI International, Inc. N o n e K T S o l d 1 2/28/0 9 K A( p a r t )9. D i g i I n t e r n a t i o n a l N o n e K T B u y i ~ 2/28/09 J(add l)10. Communications Systems B D i v i d e n d K TI l. V i s h a y l n t e r t e c h n o l o g y N o n e K T12 . ADC Telecommnnications N o n e K T13. Amkor Technology N o n e K T14. Oracle Corp. A D i v i d e n d K T15 . Synovis Life Technologies, Inc. N o n e J T B u y 12/28/09 J( a d d I )16. C y b e r o p t i cs C o r p . N o n e K T B u y ]2 /2 8/09 J

(add l)17. MicrosoR Corp. A D i v i d e n d K T


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F I N A N C I A L D I S C L O S U R E R E P O R T N a m e o f P e r s o n R e p o r t in gPage 5 of 9 L e m u r s , J A r ~ . lE S B . 0 5 / 1 5 / 2 0 1 0V H . I ~ E S T M E N T ~ a n d T R U S T S - i.~o . . . . . ~ . ~ . , ..... aons Onduaes those of sp ...... d aependent chltdren; see pp. 34-60 of fitlng ins~cro,~)

N O N E (No reportable &come, assets, or transactions.)

D e ~ f i p t i o n o f A s ~ e ~ I n c o m e d u ~ n g G r o s s v a l u e a t e n d Transact ions during re~ing period( i n c l u d i n g r e , s t a s s e t s ) ~ re~ing ~fi~ i l ~. ~.~re~ing pe~ ~ ...............P!~e "~)" after each ~set A m o u n t T ~ e ( e . g . , VaSt Value [ T y p e ( e . g . , D a t e ~ V a l u e ~ G a i n I d e n t i t y ofe x e m p t f r o m p r i o r d i ~ l o s u r e C ~ e 1 ~ d i v . , r e n t , C ~ e 2 Meth~ [ buy, sel, m ~ d ~ ~ C o d e 2 ~ C ~ e 1 b u y e r / s e l l e r

1 8 , Aetrium Inc, None J T B uy 8/26/091 9 . Dew Chemica l A Dividend J T2 0 . Cemex S ,A . A Dividend J T2 1 . Chesapeake Energy A Dividend J T2 2 . \ r a l er o E n e r g y A Dividend J T2 3 . Metro Health Network N o n e K T2 4 . ln te l Corp . A D i vi de n d J T2 5 . B e s t B u y C o . A D i v i d e n d J T2 6 . B a n k o f A m e r i c a A D iv id e n d J T2 7 . Transocean I , td . N o n e K T2 8. MUTUAL FUNDS

2 9. Columbia Acorn Fund N o n e M T30 . Fidelib, Equity Income Fund II B 1 3 iv id en d L T3 I. Fidelity Mn. Tax Free Fnnd A D i v i d e n d J T3 2 . Fid el i ty E m e r g in g M a r k e ts Fu n d A D iv id e n d J T3 3 . Fideli ty Japan Fun d A D iv id e n d J T3 4 . Fidel i ty Spar tan Muni Income Fund D D iv id e n d N T


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FIN A N C I A L D I SC L O S U R E R E P O R T N .... fP . . . . . R e p o r t i n gPage 6 of 9 ~ O K E r , , J A M E S B . O J / i 5 1 2 0 1 0

N O N E ~ o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s ~ l s ] I n c o m e d u r in g G r o s s v a ~ u e a t e n d T v a n s a c t i o n ~ d u r i n g r e p o t t i n g p e r i ~( i n t u d l n g t r u s t a s ~ t s ) r epos i ng ~ r i ~ o f r e p o a i n g p e r i o dP l a c e " ( X ) " a ~ e r e a c h a s s e t t A m o u n t T v ~ ( e .g . , [ V a l u e V a l u e T y p e ( e . g . , ~ Date ~ V a l u e [ G a h a ldenti~of

3 5 . Fidel i~ Real Estam Fund D Dividend N T: 3 6 . Harbor In te rna t iona l Fund B D i vi de n d M T

3 7 . ]nvestrnem Co Amer Fund C D iv id e n d M T3 8 . Mu t u a l B e a c o n F u n d D Dividend N T3 9 . New Perspec tive Fund A D iv id e n d L T4 0 . Oppenheimer Capita l lnc Fund A D i vi de n d M T4 1 . Oppenheimer Str a teg ic Income C D i vi de n d L T4 2 . V a n g u a r d F i xe d l n c Fu n d S- T C D i vi de n d M T4 3 . V a n g u a r d F i x e d I n c F u n d G N M A D D i vi de n d M T4 4 . W a s h in g to n M u tu a l Fu n d D Dividend M T4 5 . V a n g u a r d W i n d so r F u n d A Dividend K T46 . Vanguard Hi-Yield Corp. Fund B D i v i d e n d K T4 7 . V a n g u a r d P r i m e M M F n n d A D iv id e n d J T4 8 . V a n g u a r d S h o r tT e n n C o r p . Fu n d A D iv id e n d K T4 9 . V a n g u a r d L o n g l " em a T a x E x e m p t Fu n d B Dividend K T5 0 . V a n g u a r d W e l l in g t o n F u u d B Dividend K T5 1 . V a n g u a r d C a p i t a l V a l u e Fu n d A D iv id e n d K T

1 , I nc om e Ga i n C od e s : A =$l ,O00 or less B =SUXII - $2.50C, C -52,501 - 55,0~(I D =55,00! - $15,01)O E :515,001 - $50,{100(.See C olu mn s B I a nd D 4) F p5 5O ,r R)l - $ 100,( ~)0 G =SI tRI,001 - 51,000,0OO H 1 = 5 } ,0:Y3,001 - 55,000.000 H2 =M ~we Iha n 55,000,0002 . Val ue Cod~ .~ J =515,(RR) or less K =515,001 - 550,fs30 1. =550,001 - .$10O,0{~0 M =5100,00t - 5250,000


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FINANCIAL DISCLOSURE REPO RT ~ ..... f P . . . . . R e p o r t i n g D a t e o f R e p o r t IIV I I . ~ V E S T M E N T S a n d T R U S T S - i, .... ~, valu,, t ...... tiotts (tt~lude.* thoxe of s~ ...... d depotde,,, children; see pp. 34- 60 of flUng instruction)

N O N E (No reportable income, assets, or transaction.~.)A . B. C. j D.D e s c r i p t i o n o f A s s e B I I n c o m e d u r i n g G r o s s v M u e a t e n d ~

T r a n s a c t i o n s d u r i n g r c p o ~ i n g p e f i ~( i nc l ud i ng ~ s t as ~ ) [ ~ing_~fiod of reposing p e f o dP l a c e " ( X ) " a l ~ . . .. . h . . . . t [A . . . . . ~ [ T ~ e(e . g . . V a l u e V a l u e T y p e ( e . g , , ~ Date IVahm [Gain l aen ti~ofexemptffom priordiscl ... . . [ C~e I , . div. , rent , C ~ e 2 ~ M e th o d b u y , s e l l , m~td~/~ ~ C o d e 2 C ~ e I [ b u y e r / s e l l e r! ( A - H ) o r i n t . ) ( J - P ) C ~ e 3 r e d e m p t i o n ) ~ ( I - P ) ( A - I t ) ( i f p ~ v a t e

.......................... ] .............. ( Q -W ) ~ tr~sactioa)5 2 . A ~ i ~ a n I n t e r n a t i o n a l F u n d B Dividend M T5 3 . L e u dl o l d C o r e I n v . F u n d A Dividend N T5 4 . Selected American Shares Fund B Dividend M T5 5 . A m e r C e n tu r y E q u i ty Fu n d A Dividend M T5 6 . C h a s e G r o w t h F u n d N o n e L T5 7 . D r e y fu s M i a n M u n i F u n d B D iv id e n d K T5 8 . Icon t tea l th Care Fund N o n e L T5 9 . Matthews Pac if ic Tiger Fund A Dividend L T6 0 . M u h l e n k a m p Fu n d N o n e L T6l . M I S C .6 2 . W e l l s Fa r g o B a n k iR A A Dividend M a tu r e d 7/20/09 J A6 3 . F& B B u i l d in g P a r tn e r s hip N o n e J W6 4 . RBS lr in~m Money Market Fund A Dividend J T A c c o u n t c h a n g e d M Mf u n d s6 5 . Sc h w a b Adva n c e C a s h Re s e r ve Fu n d B u y 0 1 1 0 7 / 0 9 K(addl)6 6 . Sc h w a b Adva n c e C a s h Re s e r ve Fu n d A D iv id e n d M T B u y 12/22/09 K(addl)6 7 . W e l l s Fa rg o B a n k A I n t e r e s t K T

( S e e C o i um ~ B I a nd D , ) ) F =$ 50.001 - $ 100.(~) G -S 100,0t) 1 - $1.00~.0~ 0 H I =S 1. 00 0. {~ I - $ 5. 00 0, 00 0 H 2 = M o r e t ha n $ 5, ~0 0, 00 0


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N a m e o f P e r so n R e p o r | i n g ] D a t e o f R e p o r tI N A N CI A L DI S CL O S URE RE P O RT~ , o ~ < r ~ N , J A ~ I r .. S B .

I0 . ~ / ~ 5 / 2 0 1 0age 8 of 9

VI I]. ADDITIONAL INFORMATION OR EX PLANATIONS. a,a~c ,,epa~ o/s,~o~ , .)

VII Investments mzqd TrusIsP a r t V I I , l i n e 6 7 W e l ls Fa r g o & C o . a c q u i r e d W a c h o v ia C o r p . v i a m e r g e r


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FINANCIAL DISCLOSURE REPORT N .... fP ..... Report ing ] D . t e o f Re p o r tP a g e 9 o f 9 [ , { ) K EN , J A MES B ,]

0 5 1 l 5 / 2 0 1 0

IX. C E R T I F I C A T I O N .1 c e r t if y t h a t a l l i n f o r m a t i o n g i ve n a b o ve ( i n c l u d i n g i n f o r m a t i o n p e r t a i n i n g t o m y s p o u s e a n d m i n o r o r de p e n de n t c h i l d r e n , i f a n y ) i sa c c m a t e , t r u e , a n d c o m p l e t e to t h e b e s t o f m y k n o w l e dg e a n d b e l ie f , a n d t h a t a n y i n f o r m a t i o n n o t r e p o r t e d w a s w i t h h e l d b e ca u s e i t m e t a p p l i c a b l e s ta t u t o r yp r o v i s i o n s p e r m i t t i n g n o n - d i s c lo s u r e .I f u r t h e r c e r ti f y t h a t e a r n e d i n c o m e f r o m o u t s i de e m p l o y m e n t a n d h o n o r a r i a a n d t h e a c c e p t a n c e o f g i f t s w h i c h h a ve b e e n r e p o r t e d a r e i ncompliance wi th the provis ions of 5 U.S.C . app. 501 et . seq . , 5 U.S.C . "1353, and Judicial Conference regula t ions .

S i g n a t u

N O T E : A N Y I N D I V I D U A L W I tO K N O W I N G L Y A N D W I L FU L L Y F A L S IF IE S O R F A I1 ,S T O F IL 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 LA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a pp . 10 4 )

F IL I N G I N S T R U C T I O N SMail signed original and 3 additional copies to:

Committee on Financial DisclosnreAdministralive Office of the United States CourtsS u i t e 2 - 3 0 1One Columbus Circle, N.E.Washington, D.C. 20544

James B Loken Financial Disclosure Report for 2009

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