James B Loken Financial Disclosure Report for 2010

8/3/2019 James B Loken Financial Disclosure Report for 2010

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FINANCIAL DISCLOSURE REPORTFOR CALENDAR YEAR 201 0

Report Required by the Ethicsin Government Act of 1978(5 U.S.C. app. 101-111)

1. Person R eport ing (last name, f i rst , middle ini t ia l )L O K E N , J A M E S B .

4. Tit le (Ar tic le 111 judges ind ica te ac tive or sen ior s ta tus ;magist rate judges indicate fu l l - or par t - t ime)

CIRCU IT JU D G E (Act ive)

7. Chamb ers or Off ice AddressU.S. Cour thouse , Sui te 11W3 0 0 So u th Fo ur th S t ree tM in n eap o l i s , M N 5541 5

2. Court or OrganizationE I G H T H C I R C U I T

3. Date of Repor t05/15/2011

5a. Report Type (check appropriate type)] N o m i n a t i o n , D a t e[] Initial [] Annual [] Final5b. [] Amended Report8.On the basis of the information contained in this Report and any

modifications pertaining thereto, it is, in my opinion, in compliancewith applicable laws and regulations.

Reviewing Off icer Date

6. Repor ting Per iod0 1 / 0 1 / 2 0 1 0

to12/31/2010

I M P O R T A N T N O T E S : The instructions accompanying this form must be followea~ Complete all parts,checking the NONE box for each part where you have no reportable information. Sign on last pag~

I. P O S I T I O N S . C R e p o n Z , g ~ . a ~ v i a . a t o . ~ y ; s e , p p . 9 - 1 3 of fillng instructions.)~ N O N E ( N o reportable positions.)

POSITION1. Past President2. M e m b e r American Law In s t i tu te3.

4.5.

N A M E O F O R G A N I Z A T I O N / E N T I T YFed era l Bar Asso cia t io n , M in n eso ta Chap te r

I I. A G R E E M E N T S . m e p o m . g ~ . d ~ v ~ a a ~ l o . l y ; ~ ~ . 1 4 - 1 6 of filing instruction~)~] N O N E (No reportable agreements.)

DATE P A R T I E S A N D T E R M S


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FINANCIAL DISCLOSURE REPORTPage 2 of 10

N a m e o f P e r s o n R e p o r t in gLOKEN, JAMES B.

Date of Report05/15/2011

I I I . N O N - I N V E S T M E N T I N C O M E . tRepo . l .g individual andspouse; seepp. 17-24 of filing instructions.)A. Filers Non-Investm ent Incom e

~] NONE (No reportable income.)on- inves tmentDATE SOURCE AND TYPE

2.

3.

4.

I N C O M E( y o u r s , n o t sp o u ses )

B . S p o u s e s N o n - In v e s tm e n t I n c o m e - l f you were married du rin g an y p or t i on of the reporting year, complete this section.(Dollar amo unt not required except for honoraria.)~ (No reportable income.)ONE non- inves tment

2.

3.

4.

DATE SOURCE AND TYPE

I V . R E I M B U R S E M E N T S - , ra n sp o rt at io n , lodging, food, e n t e r t a i n m e n t(Includes those to spouse and dependent children; see pp. 25-27 offiling instructions.)

N O N E ( N o reportable reimbursements.)SOURCE D A T E S _ LOCATION

1 .2.

3.4.5.

PURPOSE ITEMS PAID OR PROV IDED


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N a m e o f P e r s o n R e p o r t in gL O K E N , J A M E S B .

D a t e o f R e p o r t05/I 5/2011

V . G I F T S . ( i n c l u d e s t h o s e to s p o u s e ~ n d d ~ e n d c n t children; see p p . 2 8 - 3 1 of filing instructions.)N O N E ( N o reportable g ifts.)

SOURCE DESCRIPTION1 .2.3.4.5.

V A L U E

V I . L I A B I L I T I E S . (Includes those of spouse and dependent children; see pp. 32-33 of filing instructlong)N O N E ( N o reportable liabilities.)

C R E D IT O R D E SC R IP T IO N1 .2.3.

4.5.

V A L U E C O D E


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N a m e o f P e r so n R e p o r t i n gLOKEN, JAMES B.

D a t e o f R e p o r t05/15/2011

V I I . I N V E S T M E N T S a n d T R U S T S - in e o ,~ e , v a l u e , tr a n s a c t i o n s a n e l u d e s t h o s e of spouse and dependent children; see p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

Descdptinn of Assets I n c o m e d u r i n g: (ineiuding trast assets) r e p o r t i n g p e r i o d

(1) (2)Place "(X)" after each asset A m o u n t Type (e.g.,

exempt fromprior disclosure C o d e l d iv . , r en t ,( A - H ) or i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d

(l) (2)V a lu e V a lu eC o d e 2 M e t h o d(J-P) C o d e 3

( Q - W )

(l )Type (e.g.,

buy, se l l ,redemption)

Transac t ions dur ing r epo r t ing pe r iod

(2) (3) (4)D a t e V a l ue Gain

mm/dd/yy Code 2 Code 1(J-P ) (A-H )

( 5 )Identity of

buy er /se l l e r( i f p r iva te

1 . STOCKS (All Comm on)2. Zimm er Holdings, Inc.

3. T arg e t Co rp B D i v i d e n d4. Emerson Electric C D i v i d e n d

LM

T

T

6.

7.

8.9.

1 0 .

Exxon Corp . B D i v i d e n d KW e l l s F a r g o & C o . A D i v i d e n d JX C e l E n e r g y , I n c . C D i v i d e n d LFSI International, Inc. N o n e

T

T

T

Sold( p a r t )Sold(part)Sold(par t )Sold

0 1 / 1 2 / 1 00 4 / 0 6 / 1 00 6 1 1 8 1 1 008/02/10

J

J

J

J

D

D

CC

1 2 . D ig i In te rn a t io n a l N o n e1 3 .1 4 . C o m m u n i c a ti o n s S y s te m s B D i v i d e n d1 5 . V ishay In te r t echn o lo g y A D i v i d e n d

1 6 . V ishay Prec i s io n G ro up N o n e1 7 . A D C T e l e c o m m u n i c a t i o n s N o n e

K T

T

B uy 0 1 / 1 2 / 1 0 J( add l )S o l d 12/03/10 J(par t )So ld 12/03/10 KSold I 1/01/10 K(par t )

S p i n o f f 07/07/10 J( f r o m l i n e 1 5 )Bu y 0 1 / 1 2 / 1 0 K( add l )

(Se e Co lu m n s B I a n d I M) F =$50,001 - $ 1 00,0002. Va lu e Co d es J = $ 1 5,000 o r le ss

(Se e Co lu m n s CI a n d D3) N =$250,001 - $500,000P3 =$25,000,001 - $50,000.0003. Va lu e Me tho d Co d e s Q = A ppr a i sa l(Se e Co lu m n C2) U =B o o k Va lu e

G =$100,001 - $1 .000,0~0K =$15,001 - $50,000O =$500,001 - $1 ,000,000R =Cost (Real Estale Only)V = O t h e r

C =$2~501 - $5,000H I =$ 1,000,0O I - $5,000,000L =550.001 - $100.000P I =$ | ,000.001 - $5,000,000P4 =More than $50.000,000S =A s s e s s m e n tW = Es t im a ted

D =$5,001 - $15,000H2 =More than $5,000,000M =$ 100,001 - $250,000P2 =$5,000,001 - $25,000,000T = C a s h M a r k et

E =$15,001 - $50.000


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N a m e o f P e r so n R e p o r t i n gLOKEN, JAMES B.

Date of Report05/I 5/201 !

V I I . I N V E S T M E N T S a n d T R U S T S - i . c o m e , v a l u c , transactions (Includes those of spouse and dependent children; see pp. 34-60 of f!ling instructions.)D NONE (N o reportable income, assets, or transactions.)

A. B. C.Deacfiptiou of Assets Incom e during Gross va lue a t end

(including trust assets) reporting period of reporting period(I) (2) (1) (2)

Place "(X)" after each asset Amount Type (e.g., Va lu e V a l ueexempt f rom p rior disc losure Co d e l div., rent, Code 2 Method(A-H) o r i n t . ) (J-P) C ode 3

(Q-W)

(l )T y p e ( e . g .,b u y , s e l l ,redemption)

Transactions dur ing repor ting per iod( 2 ) ( 3 )

D a t e Val uem m / d d / y y Code 20 - P )

( 4 ) ( 5 )G a i n I d e n t i t y o fC o d e 1 buyer/seller( A - H ) ( i f p r i v a t e

transaction) ::

1 8 .

1 9 .

20 .

Bu y 0 4 / 0 6/ 1 0 K( add l )B uy 0 5/ 2 0 / 1 0 J( add l )So ld 12/10/10 M C

21 .22 .23 .

124.

25 .26 .27 .

A m k o r T e c h n o lo g y N o n eOracle Co rp . A D i v i d e n d

K

L

T

TBu y 04/06/10 J( add l )

Syn o v is Li fe T echn o lo g ies , In c . N o n e K TCyberopt ics Corp. N o n e

Microsof t C orp . A D i v i d e n d

B uy 01/13/10(add l )Bu y 12/17/10(ad d l )

J

J

Aet f ium In c . N o n e J28. Dow Chemical A D iv id en d J T29 . C e m e x S . A .

30 . C h e s a p e a k e E n e r g y31 . V a l e r o E n e r g y32 . Met ro Hea l t h N e twork

33 .34. lntel Corp.

A D i v i d e n d J TA D i v i d e n d J TA D i v i d e n d

N o n e

A Dividend

KK

T B uy 12/l 7/10 J(ad d l )

T Sold 04/06/I 0 K( p a r t )Sold 0 5/ 2 0 / 1 0 J( p a r t )

T Bu y 12/17 /10 J( add l )

A

D

] Inc0m~ Gain ~bdes:(See C o lumns BI and I )4 )

2. Value Codes(Se e Co lu m n s C I a n d D3)

3. Va lu e Me tho d Co d e s(Se e Co lu m n C2)

A =$ I;000 or lessF =$50,1)01 - $100,000J =$15,000 or lessN =$250,001 - $500,000P3 =$25.000,001 - $50,000,000Q = A ppr a i sa lU =B o o k Va lu e

B :$~;o0~- $2,500 : c ~ $ 2 , 5 0 { = $ 5 , 0 0 0 D = $ 5 , 0 0 ~- $ 1 5 , 0 0 0G =$ 10 0,00 1 - $ 1 ,00 0,0 00 H 1 = $1 ,0 00,0 01 - $ 5,0 00 .0 00 H2 =M o re tha n $5 ,000,000K = $ 15,001 - $ 50,000 L = $ 50,001 - $ 100,000 M = $ 100,001 - $250,1)00O =$ 500,001 - $ 1,000,000 P 1 =$ 1,000,001 - $5,000,000 P2 =$5,000,001 - $25,000,000P4 =More than $50,000,000R =Cost (Real Eslale Only) S =A s s e s s m e n t T = C a s h M a r k etV Other W = Es l im a ted

E =$15,001 - $50,000


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N a m e o f P e r s o n R e p o r t in gL O K E N , J A M E S B .

D a t e o f R e p o r t05/I 5/201 !

V I I . I N V E S T M E N T S a n d T R U S T S - income, value , transactions (Includes those o f spouse and dependent c hi l dren ; see p p . 34-60 of f din g i n s t ru c t i on s . )N O N E ( N o reportable income, assets, or transactions.)

D e s c r i p t i o n o f A s s e t s Income during( i n c l u d i n g t r u s t a s s e t s ) r e p o r t i n g p e r i o d

O) (2)P l a c e " ( X ) " a f t e r e ~ c h a s s e t A m o u n t T y p e ( e . g .,exempt from prior disclosure C o d e 1 d i v . , r e n t ,(A-H) o r i n t . )

G r o s s v a l u e a t e n do f r e p o r t i n g p e r i o d(1) (2)Value Value

C o d e 2 M e th o d(J-P) C o d e 3(Q-W)

Transactions during reporting period(1 ) (2) (3) (4)

Type (e.g., D a t e V a l u e G a i nb u y , s e l l , m m /d d / y y C o d e 2 C o d e Ir e d e m p t i o n ) ( J - P ) ( A -H )

( 5 )Identity o fb u y e r / s e l l e r( i f p r i v a t e

u a n s a c t i o n )

35 . Best Buy C o .36 . B a n k o f A m e r i c a

A D i v i d e n dA D i v i d e n d

TS o l d 12/03/10 K

37 . T ran so cean Ltd .38 . Card io vascu la r Sys tems39 . Clearf i e ld In c .40 . Data l i nk C orp .4 1.42 . LSI Co rp .4 3. M ed to x Scien t i f i c4 4.45 . D r a g o n w a v e I n c .46 . M U T U A L F U N D S

N o n e K T B uy 06/I 8/10(ad d l )

N o n e K T B uy i 2 /03/10N o n e J T Bu y l 1/01/10N o n e K T B uy 1 2/03/1 0

Bu y 12/17/10(ad d l )N o n e J T Bu y 08/02/I 0N o n e K T Bu y 12/03/10

B uy 12/17/10(ad d l )N o n e J T Bu y 12/27/10

J

J

J

J

J

J

JJ

J

47 . C o l u m b i a A c o r n F u n d A D i v i d e n d M T48 .

4 9.

50 .51 .

Fid e l i ty Equ i ty In co me Fu n d I IF id e l i ty M n . T ax Free Fun d

Fid e l i ty Em erg in g M a rke t s Fun d

B D i v i d e n dA D i v i d e n d

A Dividend

LJ

TT Bu y(ad d l )

S o l d(part)T

09/30/I 0 K

11/09/I 0 K

1 . I n c o m e Ga in Co d e s :(Se e Co lu n m s B I a n d

2. Value Codes(Se e Co lu m n s C I a n d D3)

3.Va lu e Me tho d Co d e s(Se e Co lu m n C2)

F = $ 5 0 , 1 0 0 1 - $ 1 0 0 , 0 0 0 G =$ 10 0,0 01 - $ 1,0 00 ,0 00 H I = $1 ,0 00,0 01 - $ 5,0 00 ,1 )0 0J =$15,000 or less K =$15,001 - $50,000 L =$50,001 - $100,000N =$ 250,001 - $ 500,0~0 O =$500,001 - $ 1,000,000 P I =$ 1,000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P 4 = M or e t h an $ 5 0 ,0 0 0 ,0 0 0Q = A ppr a i sa l R =Cost (Real Estate Only) S =A s s e s s m e n tU =B o o k Va lu e V = O t h e r W = Es l im a tcd

D = $5,0 0 1 - $15,0 0 0H 2 =Mo te t ha n S5 ,000,000M=$1 00,001 - $250,0~ 0P2=$5 ,000,001 - $25 ,000,000T =Ca s h Ma rk e t

E =$15,001 - $50,000


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N a m e o f P e r s o n Report ingL O K E N , J A M E S B .

Date of Report05/15/201 I

V I I . I N V E S T M E N T S a n d T R U S T S - income, value, transactions (In cludes those of spouse and depen dent children; see pp. 34 -60 of f il ing instructions.)~ NONE (N o reportable income, assets, or transactions.)A. B. C.D e s c r i p t i o n o f A s s e t s Income during G r o s s v a lu e a t e n d

( i n c l u d i n g ~ - u s t a s s g t s ) r e p o r t i n g p e r i o d of reporting p~io~(I) (2) (l) (2)Place "(X)" after each asset A m o u n t T y p e ( e . g ., Val ue Val ueexempt f rom pr ior disclosure Code I d i v . , r ~ n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3( Q -W )

52 . F ide l i ty Japan F und A D i v i d e n d J T53 . F i d e l it y S p a r ~ n M u n i I n c o m e F u n d D D i v i d e n d N T54 . Fid e l i ty Rea l Es ta te Fun d D D i v i d e n d N T55 . H arbo r In te rn a t io n a l Fun d B D i v i d e n d M T56 . I n v e s tm e n t C o A m e r F u n d C D i v i d e n d M T57 . M u t u a l B e a c o n F u n d D D i v i d e n d N T58 . New Persp ec t ive Fun d A D i v i d e n d L T59 . O p p e n h e i m e r C a p i t a l In c F u n d D D i v i d e n d M T60 . O p p e n h e i m e r S t r a te g i c I n c o m e C D i v i d e n d L T61 . V a n g u a r d F i x e d I n c F u n d S - T C D i v i d e n d M T62 . V a n g u a r d F i x e d In c F u n d G N M A D D i v i d e n d M T63 . W a s h i n g t o n M u t u a l F u n d D D i v i d e n d M T64 . V a n g u a r d W i n d s o r F u n d A D i v i d e n d K T65 . V a n g u a r d H i - Y i e l d C o r p . F u n d B D i v i d e n d K T66 . V a n g u a r d P r im e M M F u n d A D i v i d e n d J T

67 . V a n g u a r d S h o r t T e r m C o r p . F u n d A D i v i d e n d68 . V a n g u a r d L o n g T e r m T a x E x e m p t F u n d B D i v i d e n d K T

Transactions dur ing repor ting per iod( 1 ) ( 2 )T y p e ( e . g ., D a t e Valueb u y , s e l l , m m / d d / y y C o d e 2

r e d e m p t i o n ) ( J - P )

Sold 11/03/10 K( p a r t )

S o l d 11/03/10 KSold 11/03/10 K(par t )

(4) (5)Gain I d e n t i ty o fCode I b uyer/seller( A - H ) ( i f p r i v a t eaansaction)

B

AA

(See Co lu m n s B I a n d D4 ) F =$50,001 - $10~,000 G =$100,001 - $1 ,000,0~0 H I = $1 ,~0 ,0 0 1 - $ 5,0 0 0 ,0 0 ~ H2 =Mo re tha n2. Value Codes J =$1 5 ,000 o r l e s s K =$15,0~ I - $50,000 L =$50,001 - $100,000 M =$ 100,001 - $250,000

(S ee Co lu mn s C I a nd D3 ) N =$ 250,00 1 - $50~ ,000 O = $5 00 ,0 01 - $ 1,0 0~ ,0 00 P I = $1 ,0 00 ,0 01 - $ 5, 00 0,0 00 P2 =$5,000,001 - $25,000,000P3 =$25,000,001 - $50,000,000 P4 =More than $50,000,0003. Va lu e Me lho d Co d e s Q = A ppr a i sa l R =Cosl (Real Estate Only) S =A s s e s s m e n t T = C a s h M a r k e t

(Se e Co lu m n C2) O =B o o k Va lu e V = O t h e r W =Es t im a te d

E =$15,001 - $50,000


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Name of Person Repor tingLOKEN, JAMES B.

Date of Report05/I 5/2011

V I I . I N V E S T M E N T S a n d T R U S T S - i ,, e o , ~ e , v a t u e , t, o n s a c t io . s a . c l ~ , te s t h o s e o / ~ p o ~ e o ~ d d e ~ , e , ,# e ~ t c hi l dren ; se e p p . 3 4 - 6 0 of filing instructions.)N O N E ( N o reportable income, assets, or transactions.)

A. B. C. D.Description of Assets Income during Gross value at end Transac t ions during report ing per iod(includ ing trust asse~ s) reporting period of reporting period

(l ) (2) ( 1 ) ( 2 ) (I ) (2 ) (3) (4)GainC ode I(A-H)

P l a c e " ( X ) " a f t e r e a c h a s s e t A m o u n t T y p e ( e . g ., Value Valueexempt from prior disclosure C o d e 1 d i v . , r e n t , C o d e 2 M e th o d( A - H ) o r i n t . ) ( J - P ) C o d e 3

69 . V a n g u a r d W e l l i n g t o n F u n d B D iv id en d K T70 . V a n g u a r d C a p i t a l V a l u e F u n d A D i v i d e n d K T71 . Art i s an In te rn a t io n a l Fun d A D i v i d e n d M T72 . L e u t h o l d C o r e I n v . F u n d B D i v i d e n d N T73 . S e l e c t e d A m e r i c a n S h a r e s F u n d B D i v i d e n d M T74 . Am er Cen tu ry Equ i ty Fun d C D i v i d e n d M T75 . C h ase G ro w th Fu n d N o n e L T76 . Dreyfus Minn Muni F und B D i v i d e n d K T77 . Ico n H ea l th Care Fun d A D i v i d e n d L T78 . M at thew s Paci f i c T ig er Fun d A D i v i d e n d L T79 . M u h l e n k a m p F u n d N o n e L T80. M ISC.

81 . F & B B uild in g P ar tn e rsh ip N o n e J W82 . R B S P r i m e M o n e y M a r k e t F un d A D i v i d e n d J T83 . S c h w a b A d v a n c e C a s h R e s e r v e F u n d A D i v i d e n d K T S o l d(part)84 . W e l l s F a r g o B a n k A Interest J T

Type (e.g., D a t e V a l uebuy, se l l , m m /d d/yy C od e 2

redempt ion) O-P)

11/03/10 L

I d e n t i t y o fb u y e r / s e l l e r( i f p r i v a t e

t r a n s a c t i o n )

(See C o lumns BI and I M) F = $ 50,001 - $ 100,00(} G =$ 1 00,001 - $ 1 ,000,000 HI =$1,000,001 - $5,000,0002. V alue Co de s J = $1 5 ,000 o r less K = $15,001 - $ 50,000 L = $ 50 ,001 - $ 10~ ,000

(Se e Co lu m n s C I a n d D3) N =$ 250,0 01 - $ 500,000 O =$ 5 00,0~ 1 - $ 1,000,000 PI =$1,000,001 - $5,000,000P3 =$25,000,001 - $50,000,000 P 4 = M or e t h an $ 5 0 ,0 0 0 ,0 0 03. Value Method Codes Q = Appr a i s a l R =Cost (Real Estate Only) S =A s s e s s m e n t

(S e e C o lu m n C 2) U = B o o k V a lu e V = O t h e r W = Es l im a ted

D = $ 5 ,0 0 1 - $ 15 ,0 0 0H 2 = More than $5,0 0 0 ,0 ~M =$ 100,001 - $250,0~0P2 =$5,000,001 - $25,000,000T = C a s h M a r k et

E = $ 15 ,0 0 1 - $ 5 0 ,0 ~0


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Name of Per son Repor tingLOKEN, JAMES B.

Date of Report05/I 5/2011

VIII. ADDITIONAL INFORMATION OR EXPLANATIONS.


10/10


N ame of Pe r son Repor t i ngL O K E N , J A M E S B .

Date o f Report05/15 /2011

IX. CERT IFICATION.I c e r t if y t ha t a ll i n f o r m a t i o n g i v e n a b o v e ( 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 d e p e n d e n t c h i l d r e n , i f a n y ) i sa c c u r a t e , tr u e , a n d c o m p l e t e t o t he be s t o f m y k n o w l e d g e a n d b e l i e f , a n d t ha 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 hhe l d b e c a u s e i t m e t a p p l i c a b l e s t a 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 l o s u r e .! f u r th e r c e r t if y t h a t e a rn e d i n c o m e f r o m o u t s i d e 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 v e b e e n r e p o r t e d a r e i nc o m p l i a n c e w i t h t he p r o v i s i o n s o f 5 U . S . C . a p p . 5 0 1 e t . s e q ., 5 U . S . C . 7 3 5 3 , a n d J u d i c i a l C o n f e r e n c e r e g u l a t io n s .

Signature: S/JAMES B. LOKEN

N O T E : A N Y I N D I V I D U A L W H O K N O W I N G L Y A N D W I L F U L L Y F A L S I F IE S O R F A I L 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 ILA N D C R I M I N A L S A N C T I O N S ( 5 U . S . C . a p p . 1 0 4 )

C o m m i t t e e o n F i n a n c i a l D i s c l o s u r eA dm i n i s tr a t iv e O f f ic e o f t h e U n i t e d S t a t e s C ou r t sSu i t e 2 -301O ne C o l u m b u s C i r c le , N . E .Wa s h i n g t o n , D .C . 2 0 5 4 4

James B Loken Financial Disclosure Report for 2010

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